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SEC’s Request for Comment On Digital Engagement Practices (DEPs) Puts Fintech Practices Under a Microscope

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On August 27, 2021, the SEC issued a press release “requesting information and public comment on matters related to the use of digital engagement practices by broker-dealers and investment advisers.”  The primary goal of the Request for Comment was to aid the Commission in determining whether or not regulatory action will be needed to protect …

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Online risk tolerance questionnaire

Why Today’s Modern Advisor Needs Their Online Risk Tolerance Questionnaire To Be Part of an Integrated Fintech Platform

Leave a Comment / Fintech, Integrations, Practice Management, Risk Capacity, Risk Tolerance / By

Gone are the days a risk assessment should be conducted on paper or in a spreadsheet. These processes are cumbersome, slow, and prone to inaccuracies. Recognizing these problems, the founders of Totum by TIFIN spent over five years creating a tool that integrates with leading broker-dealers and custodians, as well as complimentary fintech partners. We …

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