Morning Memo
Wealth Management Morning Memo

MAY 12, 2021

REGULATION AND COMPLIANCE

FINRA To Resume In-Person Hearings in July

After delaying reopening for face-to-face arbitration and mediation because of the COVID-19 pandemic, the regulatory agency will allow such proceedings at 62 of its 69 hearing venues starting July 5.

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INDUSTRY

Great Valley Advisor Group Acquires U.S. Financial Advisors

The combination is the first of its size to use LPL’s new M&A Solutions, a suite of services to help advisors navigate mergers and acquisitions from start to finish, which went live earlier this year.

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SPONSORED CONTENT

Reassessing Independence in a Post-Pandemic World

The transition to working remotely accelerated the focus on digital marketing—and the realization that going independent is actually feasible.

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INDUSTRY

RBC Wealth Management Recruits $1.6B Team from UBS

RBC add advisors specialized in the equine industry and socially responsible and ESG investing.

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ESTATE PLANNING

Till Death (And Qualified Trusts) Do Us Part

There are many reasons to shift the beneficial interest of a QTIP trust and its underlying assets during a surviving spouse’s lifetime.

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SPONSORED WEBINAR

AI and the Future of Financial Management

The role of finance leaders and advisors, within financial services, is changing for the better. Join this webinar on May 18th and hear from Aaron Harris, CTO at Sage, as he shares his vision of the future of financial management and how AI can empower your finance team and build continuous trust.

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