Industry

Structured Product Platforms to Execute 50% of Transactions, Predicts Luma’s CEO Tim Bonacci

As discussed in a recent publication from Risk.net, 5-10% of the US structured products market transactions occur on electronic platforms. However, Tim...

Fintech: Learning from the Past to Look into the Future

Throughout history, technical innovations have simplified tasks that were once inefficient and time-consuming. The breadth and diversity of such innovation is a testament to human imagination and creativity. Who hasn’t marveled at the thought of self-driving cars, a house that responds to your voice and robots that can fetch things for you? Oh wait, these are all things we can do today! Maybe...

From Airlines to Fintech, Innovation through Transformation

Does innovation have to be transformative? Is it always disruptive? In an interview with InvestmentNews, our CEO and founder, Tim Bonacci draws upon learnings from the airline industry to explain the transformation that is underway in the structured products and annuities industry. Processes that are currently inefficient and manual have already begun to be automated through the use of...

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How Financial Advisors Are Growing Their Business Through Social Media

With the rise of digital marketing and social media successes within the advisory landscape, many financial advisors are changing their strategy when it comes...

Automated Post-Sales Performance Reports Make Life Easier

Pulling up performance data for structured products is usually more time-intensive than other types of investments due to their complex nature. Manually managing this process can be time-consuming. There is a clear need for a better way to do this.

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How to Improve Suitability Measures with Financial Technology

Picture Tom, product manager for a large broker-dealer. Tom has his annual cycle exam in a couple of days. He understands how his orders have been approved and...

3 Reasons Why Wholesaler Value Could Increase

Reverse inquiries are an excellent area for wholesalers to provide value. However, the current way most wholesalers facilitate reverse inquiries is very time-consuming and subject to human error because it is based on manual tracking and email communication. On top of that, there are the differing compliance requirements to adhere to for each broker-dealer,...

Custom Structure Creation and Pricing Automation Explained

Despite the inherently complex nature of structured products, firms still surprisingly rely on emails and spreadsheets to manually manage the custom structure...

Why Financial Technology Empowers – Not Eliminates – Advisors

For some time now, investment management professionals have been concerned with technology's impact on the number of financial investment advisors. This concern was initially triggered by the wave of...

FINRA Warns Brokers: Suitability Remains a Top Compliance Concern

Financial Planning  recently published an article summarizing a report from FINRA’s examination of firms and branch offices in 2018. FINRA identified frequent citations in areas such as firms’ supervision programs, abuses by registered reps with discretionary trading authority and how firms handled products tied to market volatility. Some of FINRA’s key...

4 Tips to Successfully Market Structured Products

Because structured products are complex, advisors often have a hard time explaining the unique benefits of these financial vehicles along with the risks they carry. Even the simplest form of structured product – a market-linked CD – can become rather complex. One way to overcome this challenge is through clear, well-written marketing collateral. Marketing...