WealthManagment.com Daily Memo
Wealth Management Daily Memo

OCTOBER 13, 2021

REGULATION AND COMPLIANCE

SEC Investor Advocate: Gamification Exposes 'Significant Flaw' in Reg BI

During a speech at the Practising Law Institute's “SEC Speaks” conference, Rick Fleming argued some digital engagement practices could “blur the line” between solicited and unsolicited trading.  

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INDUSTRY

Captrust Acquires $2.6B Texas RIA Covenant Family Offices

The Covenant deal, Captrust’s seventh this year, brings the RIA more scale in Texas and continues its strategy of combining retirement plan services with wealth planning.

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SPONSORED CONTENT

Tune in to Advisor's Market360™

Who will win the debate on federal debt?

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HIGH NET WORTH

NYC Socialite Allegedly Being Imprisoned in Own Home by Daughter

Is this another case of financial elder abuse?

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RIA EDGE PODCAST

Wealthcare’s Matt Regan on Drivers of Strategic RIA Growth

Wealthcare Capital Group President Matt Regan discusses the approach his firm takes to thinking about growth on a daily basis.

Sponsored by Schwab Advisor Services

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SPONSORED CONTENT

For Referrals, Cultivate Your Close Network

Leverage existing community connections to bring in new clients.

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Wealthies Circle Spotlight

Meeting Retirees Expectations

Give your clients the retirement they never knew they could have.

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SPONSORED WEBINAR

Uranium: Fueling Decarbonization on a Path to Net-Zero

Join this webinar on Oct. 28th for an overview of the opportunity in Uranium and nuclear energy. You'll hear how nuclear energy will play a vital role in decarbonizing our modern economy.

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