Wealth Management Daily Memo

MARCH 25, 2021

REGULATION AND COMPLIANCE

SEC Charges Unregistered Brokers Who Sold Allegedly Fraudulent Securities

Patrick Donachie

The SEC claims Ronald Frank Stevenson and Jason P. Wootten unlawfully sold securities in EquiAlt, which has been accused of operating a $170 million Ponzi scheme.

Advertisement

TECHNOLOGY

eMoney Connects With Akoya To Bolster Account Aggregation

Samuel Steinberger

eMoney Advisor is plugging into a bank-backed data network as it seeks to lessen its dependence on screenscraping account aggregation.

SPONSORED CONTENT

The Complexities of ESG and International Small Cap

Sponsored by Segall, Bryant & Hamill

While ESG metrics and standards make progress in the U.S., international comparisons, especially within small cap, remain elusive. Read more in the latest paper from Segall Bryant & Hamill.

BUSINESS PLANNING

How Elite Teams Are Communicating in the Pandemic

Matt Oechsli

The prolonged coronavirus pandemic has placed an even greater importance on proper internal communication.

ETFS

Fidelity Applies for Bitcoin ETF With U.S. Securities Regulator

Matthew Leising

The Wise Origin Bitcoin Trust would use underlying prices from exchanges that include Bitstamp, Coinbase, Gemini, itBit and Kraken.

SPONSORED CONTENT

Tracking Error Needn’t be a Barrier

Sponsored by Parametric

With guidance, investing responsibly doesn’t have to impact performance.