DECEMBER 9, 2020

REGULATION AND COMPLIANCE

SEC: Firm Didn't Disclose Higher-Cost Share Class Fees

Patrick Donachie

An administrative order from the SEC alleged clients at a Nebraska-based broker had their assets placed in higher-cost mutual fund share classes when lower-cost options were available.

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TECHNOLOGY

Advyzon Adds Prospect Portal, Other Features To Its Platform

Davis Janowski

The portal provides advisors with easy ability to text or email prospects with one-click to a curated, customizable user experience.

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Sponsored by Advicent

For firms facing numerous obstacles, FinTech is key to success.

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ESTATE PLANNING

Mediation in Estate-Planning Disputes

Katherine Dupuis

It’s disheartening for all to see relatives and friends taking sides in a dispute. Mediation is a viable way to achieve cost savings and justice.

FULL ARTICLE

WEALTHIES CIRCLE PODCAST

Fidelity's Digital Solutions

In partnership with Fidelity Institutional

Fidelity Institutional's Lisa Burns introduces the firm’s technological integration system available for financial professionals.

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Wealthies Circle Spotlight

TIAA Case Study

Contributed by MyVest

How TIAA simplified the complexity of running multiple managed account programs

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Wealthies Circle Spotlight