Industry

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

May 20, 2019 2:58:52 PM

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

Financial Technology: Learning from the Past to Look into the Future

May 2, 2019 2:50:53 PM

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...

From Airlines to Fintech, Innovation through Transformation

Apr 12, 2019 3:48:22 PM

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...

How Financial Advisors Are Growing Their Business Through Social Media

Apr 5, 2019 9:45:08 AM

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

Automated Post-Sales Performance Reports Make Life Easier

Mar 22, 2019 2:15:49 PM

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...

How to Improve Suitability Measures with Financial Technology

Mar 15, 2019 9:42:39 AM

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 placed through his...

FINRA Suitability Fines Up by 225% in 2018

Mar 7, 2019 2:41:34 PM

As recently reported by Investment News, the law firm of Eversheds Sutherland issued a report summarizing 2018 fines imposed by FINRA.  The overall headline from their report is...

3 Reasons Why Wholesaler Value Could Increase

Feb 15, 2019 8:14:05 AM

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...

Custom Structure Creation and Pricing Automation Explained

Feb 6, 2019 8:42:43 AM

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

Why Financial Technology Empowers - Not Eliminates - Advisors

Jan 24, 2019 10:53:27 AM

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...

FINRA Warns Brokers: Suitability Remains a Top Compliance Concern

Dec 19, 2018 2:11:25 PM

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...

4 Tips to Successfully Market Structured Products

Dec 7, 2018 1:00:50 PM

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...