WealthManagment.com Daily Memo
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Wealth Management Daily Memo

NOVEMBER 19, 2021

REGULATION AND COMPLIANCE

SEC Enforcement Actions Drop, Penalties Rise in FY 2021

Patrick Donachie

The number of standalone enforcement actions climbed year-to-year from 2020, while whistleblower awards passed $1 billion since issuing its first award nearly a decade ago.

FULL ARTICLE

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TECHNOLOGY

Structured Notes Access Added At Fidelity, Envestnet

Samuel Steinberger

Envestnet and Fidelity are integrating with Simon Markets to bolster structured notes capabilities for advisors.  

FULL ARTICLE

SPONSORED CONTENT

Talking to Your Clients About Responsible Investing

Sponsored by Parnassus Investments

Let clients know you can help them align their investments with their values.

FULL ARTICLE

ADVISOR INNOVATIONS PODCAST

LPL’s Tom Murphy on the Firm’s Efforts Toward Modernizing the Advisor-Client Relationship

David Armstrong

Tom Murphy gives an insider look into how LPL is arming advisors with investment and planning platforms to meet the changing demands.

Sponsored by LPL Financial

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HIGH NET WORTH

What’s in the House-Passed Tax and Spending Bill Backed by Biden

Laura Davison, Ari Natter and Alexander Ruoff

Here's where the bill stands before the Senate starts making changes.

FULL ARTICLE

SPONSORED CONTENT

Advisors Deserve Wealth Management CRM

Sponsored by NexJ Systems

Improve advisor experience with wealth management CRM.

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Podcasts

WEALTHIES CIRCLE PODCAST

A Look Into 2022 for Financial Advisors with Cetera's John Pierce

David Armstrong

John Pierce talks about what Cetera Financial is doing to help advisors grow and assist them working with clients.

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THE WEALTHSTACK PODCAST

Articulating and Demonstrating Your True 'Alpha' with Jamie Hopkins

Mark Bruno

Dive into different ways to communicate your value with prospects and demonstrate what makes you different from other advisors.

Sponsored by Nationwide

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SPONSORED WEBINAR

Advisor Expectations Through an Investor Lens

Sponsored by Investments & Wealth Institute

Join the Investments and Wealth Institute on Nov. 22 as they examine the investor data around which planning and client services and technical capabilities separate good advisors from Exceptional Advisors® through the investor lens.

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