Whiskey&WealthTech

From back office processes, to complying with industry regulations and meeting client expectations, the static nature of the wealth management industry is coming to an end. However, when it comes to the future of digitization, client facing enhancements are the biggest priorities for most firms. Clients are asking for firms to scale personalization and deliver client reporting at their fingertips....

For years, investment advisors have relied on an outdated system of rules when it comes to governing advertisements, endorsements, solicitations, and other methods to expand and promote their business. On December 22, 2020, the U.S Security and Exchange Commission (SEC) adopted amendments that consolidated Rule 206(4)-1 (“Advertising Rule”) and Rule 206(4)-3 (“Solicitation Rule”) with intentions t...

In order to build the right AI Model, Deep Domain Expertise and Horizontal Business Knowledge are needed. At First Rate, we understand the economics behind the data and believe that signals are more important than just developing complex technical solutions/algorithms. Furthermore, we follow the “Law of Parsimony" and keep the dataset size close to the minimally appropriate, which is crucial....

We have invited our very first guest Mary Kopczynski to join us today to taste one of her favorite whiskeys, High West’s Rendezvous Rye, distilled in Park City, UT. We will be discussing our partnership with her firm Regalytics and dive deeper into understanding the newest SEC marketing regulation and how firms can prepare for the new regulatory shift about to take effect on November 4th, 2022.