Wealth Management Morning Memo

SEPTEMBER 17, 2019

INSURANCE

New York Passes Best Interest Regs for Life Insurance

Richard Freeman

Other states may follow its lead.

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BUSINESS PLANNING

Five Habits of Successful Team Leaders

Matt Oechsli

Start raising the bar with yourself—your team will follow.

SPONSORED CONTENT

Do CDs = Safety?

Sponsored by Hartford Funds

When it comes to CDs, assuming safety is a risky proposition.

HIGH NET WORTH

Tax Break for Blighted Areas May Help Billionaire Art Collectors

Katya Kazakina

Art collectors may have a “once-in-a-generation opportunity” to invest capital gains in economically depressed areas around the country, according to Cresset Partners.

SPONSORED CONTENT

Longevity: Preparing Clients for Retirement

Sponsored by Nationwide

People are living longer than ever, often well into their 80s or 90s.

The Daily Brief

REGULATION AND COMPLIANCE

J.P. Morgan to Pay $1.1 Million for Failing to Disclose Reps’ Misconduct

Diana Britton

FINRA claims the firm was late an average two years in disclosing 89 internal reviews or allegations of misconduct over a six-year period.

REGULATION AND COMPLIANCE

Stifel, BMO Settle Charges Over Blue Sheet Violations

Diana Britton

Stifel and BMO will pay $2.7 million and $1.95 million, respectively, in penalties.

PEOPLE

Scott Welch Leaves Dynasty, Joins WisdomTree

Erick Bergquist

Scott Welch leaves Dynasty Financial to oversee model portfolios at ETF shop WisdomTree.

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