Wealth Management Daily Memo

OCTOBER 4, 2018

REGULATION AND COMPLIANCE

PIABA Blasts FINRA’s New OBA Supervisory Rules

Diana Britton

The arbitration attorney group argues that FINRA’s new proposals regulating outside business activities will leave investors more at risk of scams.

REGULATION AND COMPLIANCE

How to Avoid Becoming a Money Launderer Like Ozark's Marty Byrde

Don Andrews

Vigilance and maintaining a slightly circumspect posture, especially when things seem off, are key to avoiding mistakes.

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CLIENT RELATIONS

It's Time to Kill Quarterly Client Review Meetings

Steve Lockshin

Quarterly client meetings are painful for everyone.

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