Wealth Management Daily Memo

MARCH 30, 2022

TECHNOLOGY

Preventing Elder Fraud: Nationwide Partners With Carefull

Davis Janowski

Carefull also rolls out an advisor-focused version of its financial red-flag monitoring app to help clients and their elderly relatives.

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INDUSTRY

California Team Creates Employee-Owned Firm Via Mariner's New Indie Platform

Diana Britton

A $450M team in Newport Beach, Calif., leaves RIA Miracle Mile, partners with Mariner Platform Solutions to create employee-owned business.

SPONSORED CONTENT

Harnessing Technology to Streamline, Grow and Secure Your Practice

Sponsored by Bill.com

This eBook details ways you can standardize workflows to streamline your business, target manual pain points to increase efficiency, harness data to add value for clients, and address the changing cybersecurity landscape.

401KTV

401(k) Real Talk Episode 10: March 30, 2022

Fred Barstein

Open, honest and candid discussions about the latest news in the RPA industry.

REGULATION AND COMPLIANCE

Wall Street Brokers Are Put on Notice by SEC Over Conduct Rules

Ben Bain

For retail clients, the roles of brokers and financial advisors are similar, the SEC says.

SPONSORED WEBINAR

Advances in RegTech: Managing Compliance Mandates

Sponsored by SS&C Black Diamond Wealth Platform

Timothy Welsh, will be joined by leading financial advisors on Mar. 31st to discuss anti-money laundering, monitoring your employees trades, managing outside business activities, and more.