WealthManagment.com Daily Memo
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REGULATION AND COMPLIANCE | | | The proposed rule would prompt remote examinations of the residential offices a permanent part of FINRA's process, but PIABA President Hugh Berkson warns it would allow reps to skirt oversight. FULL ARTICLE |
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ESTATE PLANNING | | Matthew F. Erskine | Individuals with a net worth over $5 million are now more at risk than they have been in decades. FULL ARTICLE |
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WMTV ON LOCATION | | Sponsored by Blue Chip Partners | Robert Steinberg, founder and CEO of Blue Chip Partners, discusses the importance of a strong hiring process. WATCH NOW |
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EQUITIES | | Aaron Brown | How many stocks do you need to have a properly diversified portfolio? Bigger is generally better, but it depends more on your luck. FULL ARTICLE |
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REGULATION AND COMPLIANCE | | John Holland | Landmark program recoups $5.6 billion for victims. Informants say it could be even more. FULL ARTICLE |
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WMTV ON LOCATION | | Sponsored by Northern Trust Asset Management | Julie Moret, global head of sustainable investing and stewardship at Northern Trust Asset Management, explains the growing importance of ESG considerations for investors. WATCH NOW |
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INDUSTRY | |
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Raj Bhattacharyya: The State of Play in RIA M&A | |
Mark Bruno | |
Robertson Stephens CEO Raj Bhattacharyya discusses the latest trends in the M&A market and how an increase in deals within the past year might impact the future needs and wants of buyers. Sponsored by Schwab Advisor Services LISTEN NOW |
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SPONSORED WEBINAR | | Sponsored by Laserfiche | Join this complimentary webinar on Nov. 29th for a compliance and product expert-led discussion regarding best practices and key considerations for seeking out proven solutions. REGISTER NOW |
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