Wealth Management Daily Memo

AUGUST 14, 2020

REGULATION AND COMPLIANCE

SCF Investment Advisors Settles SEC Charges Over Share Class Violations

Diana Britton

The SEC says SCF’s corporate RIA failed to self-report the violations during its Share Class Selection Disclosure Initiative.

TECHNOLOGY

Edward Jones Builds New Tools for Connecting with Prospects, Clients

Davis Janowski

The four applications are meant to streamline and enrich the prospecting and plan building processes.

SPONSORED CONTENT

Revised ETF Regulations Could Change the Game

Sponsored by Fidelity Investments

Regulatory shifts may make ETF investment options more appealing.

HIGH NET WORTH

How to Prepare High-Net-Worth Clients for IRS Wealth Squad Audits

Domingo Such III, Richard E. Peterson and Christopher Sigmund

Five critical actions to take.

SPONSORED CONTENT

Coming of Age: The Emerging Gen Z Investor

Sponsored by American Portfolios

One of the most underappreciated Gen Z personality traits - their seriousness about finances.