WealthManagement.com Daily Memo
|
|
| PEOPLE | | | | | | Patrick Donachie | | Saas veteran Dan Zitting will succeed Klein on Dec. 4, in a change that had been in the works for several months. FULL ARTICLE |
| |
| |
|
|
| INDUSTRY | | | | Diana Britton | | The news comes as Avantax faces three lawsuits and "multiple" demand letters from stockholders asking the company for additional financial disclosures. FULL ARTICLE |
| |
| |
|
| SPONSORED CONTENT | | | | Sponsored by MassMutual | | A way to give children a head start on their financial goals. LEARN MORE |
| |
| |
|
|
| REGULATION AND COMPLIANCE | | | | Patrick Donachie | | Haywood USA failed to do due diligence for approximately 134 sales recommendations of private placement offerings totaling nearly $11 million, breaking FINRA rules and violating the SEC's care obligations. FULL ARTICLE |
| |
| |
|
| CLIENT RELATIONS | | | | Laura Hanichak Gregg | | An advisor’s role should include helping clients become more fluent in what may be the world’s most consequential language. FULL ARTICLE |
| |
| |
|
| WHITE PAPER | | | | Sponsored by Ares | | Today, a broad structural shift is underway with private markets becoming larger, more diverse, and more available to companies and investors than ever before. DOWNLOAD NOW |
|
| |
|
|
|
|
| WEBINAR | | | | Sponsored by Nasdaq | | Join us tomorrow to learn how a Nasdaq 100 covered call strategy maximizes income and risk management, offering valuable insights for your investments. REGISTER NOW |
| |
| |
|
|
| | | | Did someone forward you this newsletter? Sign up here to receive it direct. You are subscribed to this newsletter as EmailAddress To ensure uninterrupted delivery of this critical eNewsletter alert be sure to add WealthManagement.com and the reply address to your list of safe sender contacts. Questions or problems? Contact Customer Service WealthManagement.com | Informa | 605 Third Avenue, 22nd Floor, New York, NY 10158
© 2023, Informa USA, Inc., All Rights Reserved. | | | |
|
|
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - |
|
