Wealth Management
 
WealthManagment.com Daily Memo
Wealth Management Daily Memo

AUGUST 30, 2024

REGULATORY

FINRA Fines Raymond James $1.9M Over Client Complaint Reporting

According to the settlement letter, the brokerage regulator argued Raymond James didn’t properly check that personnel were filling out forms to ensure that written customer complaints were submitted to FINRA quarterly.

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MIDYEAR OUTLOOK
Taking a Proactive Approach to Managing Conflicts of Interest
The increased accessibility of sensitive information poses significant risks for financial services firms
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TECHNOLOGY

Shift In MarTech Usage, AI Perceptions, Among Findings In WealthStack Study

Our technology columnist homes in on a few points from the third annual WealthStack study.

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REITS

Anticipation for Rate Cuts, Strong Q2 Performance Fuel a REIT Rally

After a sluggish first six months of 2023, publicly-traded REIT total returns are up more than 10% in the third quarter and by double-digits year-to-date.

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TECHNOLOGY

User Agreements: The Hidden Risks in Third-Party Integrations

Advisors need to be diligent when it comes to their third-party technology and terms of service.

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Marketing

WealthStack Roundup: AJ Boury Departs TIFIN For MSCI Wealth Management

Some technology people moves, Surge rolls out Fusion 1 suite, YCharts and Broadridge integrate.

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