WealthManagment.com Daily Memo
 
Wealth Management Daily Memo

APRIL 18, 2022

REGULATION AND COMPLIANCE

Former UBS Rep Faces 60 Years in Prison For Stealing Millions

German Nino pleaded guilty to wire fraud in Florida federal court for stealing more than $5 million from clients and spending it on "romantic partners," according to the DOJ.

FULL ARTICLE

RPA EDGE

How Fintechs Could Take Over the 401(k) Industry

It’s going to take disruptors, not politicians and regulators, to develop creative solutions.

FULL ARTICLE

SPONSORED CONTENT

New eBook: How Top Financial Professionals Turn Vision Into Reality

Discover how financial professionals are taking their business to the next level using technology and analytics to streamline processes that allow them to exceed client expectations.

READ MORE

CELEBRITY ESTATES PODCAST

Celebrity Estates: Russia, Ukraine and the Benefits of Alternative Citizenship

The return of war to Europe reinforces the need for clients to have a backup plan in place to protect their families and their assets.

LISTEN NOW

INDUSTRY

Schwab Shares Tumble as Profit Misses Estimates on Trading Slump

Customers placed 6.58 million daily average trades in the first quarter, a decline of 22% from the year-ago period.

FULL ARTICLE

FASTCHAT VIDEO

Rising Interest Rates – Now What?

A lot of investors looking for yield are rushing into alternatives that look attractive in a rising rate environment in anticipation of the coming interest rates hikes – is this the right play? Watch as David Armstrong and Commonwealth Financial’s Peter Essele assess the strategy.

WATCH NOW

Podcasts

ADVISOR INNOVATIONS PODCAST

Max Schatzow on the SEC’s New Rules for Advisor Marketing in 2022

The founder of RIA Lawyers dissects the new rules and compliance regulations surrounding marketing for advisors.

Sponsored by LPL Financial

LISTEN NOW

THE HEALTHY ADVISOR PODCAST

Healing From Physical and Mental Abuse of the Past

Arbor Digital Product Director Marc Nichols opens up about the sexual and mental abuse he endured as a child, and how therapy and a good support system helped him find healing.

Sponsored by United Planners Financial Services

FULL ARTICLE

WMIQ RESEARCH

Understanding the True Drivers of RIA Growth

This webinar on Tues. April 26th will offer the first live look at the key findings from the 2022 RIA Edge Study, which examined the growth rates of hundreds of RIA firms, as well as their expectations for the future.

REGISTER NOW