Wealth Management Daily Memo

JANUARY 8, 2020

REGULATION AND COMPLIANCE

More SEC Compliance Staff May Be Needed to Meet RIA Growth

Patrick Donachie

The SEC's Office of Compliance Inspections and Examinations raised this concern in a recent report detailing its priorities for exams in 2020.

INDUSTRY

Fiduciary Trust Makes First Acquisition in 18 Years

Erick Bergquist

Fiduciary Trust CEO John Dowd is looking to build out the firm's outsourced CIO program for UHNW families.

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RETIREMENT PLANNING

2020 Outlook for Plan Advisors

Ed McCarthy

Industry experts weigh in on what’s to come.