WealthManagment.com Daily Memo
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| REGULATION AND COMPLIANCE | | | | | | Patrick Donachie | | HSBC and Scotia will pay $15 million and $7.5 million, respectively, and acknowledge their supervision failures violated record-keeping rules, while the SEC said the case was a reminder for firms to self-report disclosure lapses. FULL ARTICLE |
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| RIA NEWS | | | | Diana Britton | | Stratos has taken a majority stake in one of its existing firms, San Diego-based BWM Financial, to seed the new division. Stratos Private Wealth will provide a branded, single experience for UHNW and HNW clients. FULL ARTICLE |
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| RESOURCE CENTER | | | | Sponsored by United Planners Financial Services | | Every advisor knows that a succession plan is a must-have, yet most advisors don’t have one. This step-by-step guide will lead you through the planning process. LEARN MORE |
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| INDUSTRY | | | | Layan Odeh | | The transaction means immediate financial relief, allowing CI Financial to pay down some of the debt it accumulated when it acquired dozens of wealth management offices across the US. FULL ARTICLE |
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| ETFS | | | | Aniket Ullal, CFRA Research | | After launching more than 30 new ETFs in March, sponsors brought 22 new funds to the market in April. FULL ARTICLE |
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