Morning Memo
Wealth Management Morning Memo

NOVEMBER 12, 2021

CFP Board Boosts Sanctions for Self-Reporting Lapses, Proposes New Appeals Commission

CFP professionals may face a public censure if they do not report certain information that could point towards possible misconduct within 30 days.

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Industry

Creative Planning to Acquire Lockton’s Retirement Plan Business

Peter Mallouk takes an even bigger leap into the 401(k) market in a deal with Lockton that would add $110 billion in assets.

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The Power of Outsourcing Investment Management

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ETFs

October's ETF Launches

38 ETFs launched last month. Here's a look at the new funds, which included several focused on cryptocurrencies and blockchain technology.

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MyCMO: The Right Message to the Right People at the Right Time

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Opinion

The Secrets RIA Aggregators Don’t Want You to Know

The only thing that matters for a lot of these aggregators is their bottom line and the financial arbitrage that is being catalyzed by M&A, writes Patrick Brewer of WealthSource Partners.

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SPONSORED WEBINAR

Picking Winners Is a Losing Game: Lessons Learned From Moneyball

This webinar on Tuesday, Nov. 30th will cover how to apply a moneyball approach to investing and portfolio management. You'll learn how to get your clients to focus on the right question: how can we avoid the losers?

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