WealthManagement.com Daily Memo
 
Wealth Management Morning Memo

NOVEMBER 21, 2023

RIA NEWS

Curi Buys Majority Stake in $9.6B RMB Capital

The national healthcare advisory firm will merge its wealth management business, Curi Capital, with RMB.

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REGULATION AND COMPLIANCE

SEC Charges Laidlaw & Co. Reps With Excessive Trading, Violating Reg BI

The SEC also charged the firm with failing to adhere to policies and procedures designed to catch evidence of excessive trading in client accounts.

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WMIQ EXCLUSIVE RESEARCH

How Leading Advisors Are Using AI To Revolutionize Their Practice

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TECHNOLOGY

Three Steps for Asset Managers to Succeed with AI and What Financial Advisors Can Learn from Them

Firms will have to be transparent, provide adequate guardrails and deliver impactful strategies to succeed because while AI won't replace humans it is not going away.

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PEOPLE

Morgan Stanley Co-President Saperstein Diagnosed With Cancer

While his travel may be limited, Morgan Stanley Co-President Andy Saperstein says he plans to keep working during treatment.

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WEBINAR

FMG’s Top 5 Marketing Predictions for 2024

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