WealthManagment.com Daily Memo
 
Wealth Management Daily Memo

JULY 13, 2023

REGULATION AND COMPLIANCE

FINRA Charges Former Rep With Making Unsuitable Illiquid Alt Recommendations, Falsifying Client Info

When working for Coastal Equities, Luke Johnson pushed clients to invest in illiquid alts, including a number of GPB Holdings private placements.

FULL ARTICLE

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TECHNOLOGY

AI Will Heighten Cybersecurity Risks for RIAs

While scams like email impersonation and phishing are nothing new, generative AI has supercharged the risks by introducing new threats, including deepfakes and malicious chatbots.

FULL ARTICLE

EDGETV

Unlocking Succession Gridlock

Advisory firm owners agree they should have a succession plan, but most don’t have one. Why?

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WEALTH MANAGEMENT EDGE PODCAST

The 2023 Mid-Year Bond Market Outlook With S&P’s Nicholas Godec

Where will markets go from here and how should advisors be thinking about the increasing number of opportunities in fixed income?

Sponsored by iShares

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ETFS

This Quant Giant Wants to Use Vanguard’s Tax-Busting Fund Structure

Dimensional Fund Advisors wants to create ETFs as a share class of its mutual funds.

FULL ARTICLE

SPONSORED WEBINAR

The Psychology of Custom Indexing

Join this webinar on July 18th to discover the hidden forces that drive investor behavior and the unique strategies employed in custom indexing to optimize portfolio performance.

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