Financial Services News from SIGNiX

SIGNiX to Exhibit at the 2016 Albridge Forum

Posted by Mary Bruce on Tue, Sep 13, 2016 @ 08:30 AM

We're excited to announce that we will exhibit during the 2016 Albridge Forum hosted by Albridge, an affiliate of Pershing® and a leading provider of data management and financial technology solutions for financial services companies.

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The Guide to Solving the DOL’s Final Fiduciary Rule Paper Burden

Posted by Cara Moore on Wed, Aug 31, 2016 @ 09:14 AM

Under the Department of Labor’s (DOL) new, expanded fiduciary rule, any person, including a broker-dealer, providing retirement investment advice for a fee has a legal responsibility to act in each client’s best interest. The initial deadline to comply with this rule is April 10, 2017.

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What Makes an E-Signature SEC & FINRA Compliant?

Posted by Mary Bruce on Mon, Aug 29, 2016 @ 08:54 AM

E-signatures have been considered legal in the United States for over 16 years now. On June 30, 2000, President Bill Clinton signed into law the Electronic Signatures in Global and National Commerce Act (ESIGN Act), which changed the digital landscape. Before the ESIGN Act, documents were being signed electronically by some businesses, but their legal validity was put into question. This was especially true for businesses in highly regulated industries, such as healthcare and financial services, which are regulated by governing entities that require adherence to stringent compliance standards. The ESIGN Act offers a solid legal foundation to stand upon, but highly regulated industries are obligated to up the ante to ensure legal acceptance.

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[Infographic] Navigating the DOL Fiduciary Rule’s Paper Burden

Posted by Mary Bruce on Thu, Aug 18, 2016 @ 09:15 AM

April 10, 2017 may seem like just another day, but for the financial services industry, it’s significant.  By this date, under the Department of Labor’s new fiduciary rule, all financial advisors will be required to recommend what is in the best interest of their clients when they offer guidance on 401(k) plan assets, individual retirement accounts or other qualified monies saved for retirements.

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Digital Signatures Help Broker-Dealers Navigate DOL’s New Fiduciary Rule

Posted by Jay Jumper on Wed, Jul 27, 2016 @ 07:30 AM

The clock is ticking.

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Tech Retreat is No Vacation for Forward Thinking Broker-Dealers

Posted by Cara Moore on Wed, Nov 18, 2015 @ 07:30 AM

Tech Retreat, hosted by Beacon Strategies in Santa Barbara, California is an invitation-only broker-dealer hotspot to learn and discuss the technologies that are here to stay in financial services. On November 18-20, 25 broker-dealer executives will have the opportunity to participate in informative discussions and hear from leading technology vendors. As one of the top e-signature solutions in financial services, SIGNiX has the privilege of attending.

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What Happens if Straight Through Processing is Only Part-Through?

Posted by Pem Guerry on Mon, Nov 16, 2015 @ 12:14 PM

In digital transaction processing, the whole is greater than the sum of its parts.

If you’re a broker-dealer, financial advisor or even just close to the financial services industry, you know that straight-through processing (STP) represents the pinnacle of digital success. It’s the “whole.” And yet many fall short of achieving it. They’re too tangled in the individual parts. 

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[Infographic] STP Transforms Financial Transactions

Posted by Mary Bruce on Wed, Nov 11, 2015 @ 02:42 PM

Businesses today are looking at a range of options that can help them cut cost, reduce manual effort, and increase efficiency. For broker-dealers, one of the most compelling solutions is straight-through processing (STP).

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[Infographic] Onboarding Broker-Dealers’ Clients – Doing It Right

Posted by Mary Bruce on Wed, Nov 04, 2015 @ 03:57 PM

 

According to a recent white paper released by Pershing LLC, a BNY Mellon company, to remain competitive in today’s financial advice industry, broker-dealers must recalibrate their relationships with their advisors. The report identifies that changes in the advisor-client of today's broker-dealer present different challenges and opportunities that broker-dealers must navigate.

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Putting E-Signatures Into Practice: How to Facilitate E-Signature Adoption in Financial Services

Posted by Pem Guerry on Mon, Oct 19, 2015 @ 07:30 AM

While many consumers seem to crave and almost instantly purchase the latest technology, the same can’t always be said for businesses—including those in the financial services industry. It’s prudent to be cautious, but when broker-dealers and advisors don't keep up with proven tools that help them better serve clients, time and money are quickly lost.  

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