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Wealth Management Morning Memo

MARCH 19, 2024

REGULATION AND COMPLIANCE

FINRA Fines M1 Finance in First Charges Involving Social Media Influencers

Patrick Donachie

The settlement follows a 2021 targeted exam looking into how firms work with social media influencers.

FULL ARTICLE

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RPA

Conflict in the Financial Services Industry Is Inevitable

Fred Barstein

Especially in 401(k) plans.

FULL ARTICLE

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HIGH NET WORTH

The Danger of Declining Estate Planning

Matthew F. Erskine

It's far more than a legal formality.

FULL ARTICLE

HIGH NET WORTH

High Rates and a Hot Market Make Tax Returns Trickier

Suzanne Woolley

Taxpayers may encounter a host of surprises when they file income taxes this year — and next.

FULL ARTICLE
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