WealthManagment.com Daily Memo
Wealth Management Daily Memo

DECEMBER 20, 2019

REGULATION AND COMPLIANCE

"No 'Gotcha:'" SEC, FINRA Detail Reg BI Compliance

Regulators stressed they'd be looking for 'good faith' efforts from firms in achieving compliance as the implementation date for the SEC rule arrives in June 2020.

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PEOPLE

SEC Charges $200M AUM Advisor with Defrauding Retirees

In addition to failing to disclose financial incentives to sell insurance products, investment advisor and radio host Keith Springer also paid internet consultants to suppress online mentions of previous SEC complaints, according to the complaint.  

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ESTATE PLANNING

Year-End 2019: Top 5 Estate and Tax Planning Strategies

There's still time to act on these helpful tips.

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