Omnichannel is a proven strategy, and the jump in adoption over the past decade is a clear signal of its effectiveness in meeting consumers where they are and where they want to engage. “What we think ...

After facing years of hair-raising fines and penalties around recordkeeping violations, some RIA firms might take recent leadership and organizational changes at the Securities and Exchange Commission ...

Stifel and Invesco will pay $35 million each to settle SEC charges that the firms failed to properly retain reps’ off-channel electronic communications. Additionally, nine other firms settled similar ...

As long as the firm approves a particular modality for business purposes and establishes the necessary infrastructure to capture, archive and monitor the approved modality, it will be considered ...