FinTech

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SEC Fines 2 RIAs $400K Over False Boasts About AI Capabilities

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Delphia (USA) and Global Predictions agreed to pay $400,000 in penalties for the false claims, the agency said.

AssetMark Sees Tech As Key To Success, CEO Says

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The company is devoting $60 million to its technology budget this year, CEO Michael Kim said.

RIAs Can't Explain How Their AI Works, SEC Official Says

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Even AI engineers have a problem conveying how the technology works, the regulator said.

Mark Casady Joins Foundation Source Board Of Directors

by FA Staff

Casady has been a leader in fintech and philanthropy for four decades.

Pershing Adds Ashton Thomas Securities For Clearning And Custody

by FA Staff

The agreement gives Ashton Thomas Securities advisors more capabilities, BNY Mellon's Pershing said.

Self-Reporting Off-Channel Violations Can Save Millions

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Self-reporting can reduce the financial penalties for off-channel communications violations.

Elon Musk Lawsuit Accuses OpenAI, Altman Of Breaching Humanitarian Mission

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The case marks an escalation in the one of the highest-profile clashes in the emerging field of AI.

Luma, Yieldstreet Expand Alts Partnership

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Luma Financial Technologies has expanded its relationship with Yieldstreet to offer alternative investment products to Luma's advisors.

RBC Adopts TIFIN AI Wealth Management Tool

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The AI program gives advisors clues to client financial events, TIFIN said.

A Master Class In FinTech Innovation

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Two fintech leaders discuss the dynamics of innovation.

Stock Markets Are Driving A New American Century

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The U.S.'s growing financial dominance may be making up for its declining influence in other realms.

Nearly Half Of Advisors Say They Want To Use AI, Survey Says

by FA Staff

Advisors say the technology could be useful for client communications and marketing.

SEC's Gensler Warns Public Companies Against Overblown AI Claims

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Companies from a range of industries have been advertising how they're harnessing AI to improve operations.

Luma And Yieldstreet Expand Alts Partnership

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Yieldstreet will help Luma advisors expand their alternative investment options for clients.

Alternative Investments Seeing Dislocation, Opportunity, J.P. Morgan Says

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The firm is excited about office real estate, AI and life sciences.

GOP Senate Bill Seeks To Block SEC Rules On Advisor AI Use

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Sen. Ted Cruz called the SEC's proposal a "war on technology."

Vanguard Quietly Embraces AI In $13 Billion Of Quant Stock Funds

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The company has been an early adopter of artificial intelligence across several active stock funds.

Artificial Intelligence Vs. Human Stupidity

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There is much hope--and hype--about what AI could do for productivity and economic growth in the future.

TIFIN Acquires Charitable Tech Platform

by FA Staff

The acquisition of the Giving Place will enable TIFIN to expand donors resources, TIFIN said.

Morningstar Partners With iCapital For Alternatives

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Advisors will more easily be able to weave alts into client portfolios using the beefed up platform.

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