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Fintech startup Archive Intel secures $1M seed funding
The wealth tech provider is broadening its communications archiving and compliance footprint and boosting its AI capabilities.
Ameriprise bracing for $50 million penalty over messaging
'There's no rhyme or reason regarding how these penalties are determined,' one industry executive says.
SEC wants LPL to pony up $50 million over messaging apps, texts
'The large size of such fines underscores the point that regulators want this behavior to change quickly,' a compliance executive notes.
