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Wealth Management Morning Memo

OCTOBER 11, 2023

REGULATION AND COMPLIANCE

Is SEC Overshooting on Its AI Conflicts Rule?

Patrick Donachie

In public comment letters, Morningstar and others urge the SEC to consider revising Reg BI instead of crafting new regulations. However, investor protection advocates say the rule is needed to safeguard consumers.

FULL ARTICLE

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PEOPLE

Connecticut Advisor Pleads Guilty to $2.7M Cherry-Picking Scheme

Patrick Donachie

Jonathan Vincent Glenn faces 25 years in prison after pleading guilty to federal securities fraud charges.

FULL ARTICLE

SPONSORED CONTENT

Focus On Potential Historic Opportunity

Sponsored by Capital Group

Seek compelling returns as the Fed hits the brakes on rate hikes.

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TECHNOLOGY

Optimizing AI for Financial Advisors

Nathan Stevenson and Browning Mank

How to make the bots work for you.

FULL ARTICLE

CAREERS

How to Free Yourself from the 'If Only' Mindset

Jason Diamond

Here are the five most common self-limiting statements that advisors share—and ways to reframe your thinking.

FULL ARTICLE

WHITE PAPER

Alternative Investments Are an Increasingly Popular Tool in Client Portfolios

Sponsored by Alternatives by Franklin Templeton

Greater education around alternatives and the need for diversified assets have boosted use — and there is still room to grow.

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Podcasts

RIA EDGE PODCAST

Connectus Wealth's Molly Bennard on Bringing Different Connections into Focus

David Armstrong

Molly Bennard discusses Connectus Wealth's business model, the importance of organic growth, future opportunities and more.

Sponsored by Schwab Advisor Services

LISTEN NOW

WEALTH MANAGEMENT EDGE PODCAST

Retirement, Annuities and Regulation Unveiled

Nabia Jenkins-Johnston

Protecting the average retiree in a confusing landscape of investment planning vs. financial planning.

Sponsored by iShares

LISTEN NOW

WEBINAR

Shaping Future Success: Financial Advisors Embrace Convergence, Growth, and Technology

Sponsored by Marsh McLennan Agency

Join us on tomorrow to discover how financial advisors leverage convergence, growth, and tech, with insights from a hybrid model survey.

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