WealthManagement.com Daily Memo
 
Wealth Management Morning Memo

MARCH 18, 2024

REGULATION AND COMPLIANCE

SEC Accuses Two Firms of Lying About AI

The commission accused Global Predictions and Delphia of “AI washing,” making misleading claims about how they each used artificial intelligence in managing investments.

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REGULATION AND COMPLIANCE

FINRA Fines M1 Finance in First Charges Involving Social Media Influencers

The settlement follows a 2021 targeted exam looking into how firms work with social media influencers.

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SPONSORED CONTENT

2024 WealthTech Spotlight

Insights from industry leaders on the dynamic technology landscape of wealth management.

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WEALTH MANAGEMENT INVEST PODCAST

Exploring Private Market Strategies with Tony Davidow

Franklin Templeton's Tony Davidow shares insights on the increasing accessibility of alternative strategies and the role of private credit, private equity and real estate in diversified portfolios.

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ESTATE PLANNING

Alleviating the Anxiety of the Merely Well-to-Do Boomer

A slightly unorthodox approach for collaborative advisors.

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