Industry

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...

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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...

How Luma Improves Control and Compliance

Through advanced financial technology solutions, more and more banks and broker-dealers are saving time and improving control and compliance. This trend has...