Morning Memo
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Wealth Management Morning Memo

JULY 20, 2021

People

Advisor Group Taps LPL Exec to Serve as Chief of Staff

Diana Britton

The announcement solidifies the firm’s chief of staff role, previously a rotational position, and continues Advisor Group's efforts to build out executive ranks in the wake of the Ladenburg Thalmann merger.

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Alternative Investments

Sustainable Investing: System-level Thinking and Financial Advice

William Burckart and Bob Dannhauser

The savviest advisors have figured out how to frame sustainability as a logical extension of the work most already do.

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Creating Stickiness with High-Net-Worth Clients

Sponsored by Bill.com

What makes a high net worth client “stick” to you like glue?

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Regulatory

SEC: UBS To Pay $8M For ETP Compliance Lapses

Patrick Donachie

The penalty over advisors' use of the iPath S&P 500 VIX Short-Term Futures ETN marks the second settlement to result from the SEC's ETP Initiative.

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Industry

Ackman Abandons Universal Music SPAC Deal After SEC Backlash

Thomas Seal and Nishant Kumar (Bloomberg)

The regulator raised “deal killer” concerns last week and “stopped” the deal, Ackman said in a CNBC interview.

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