WealthManagment.com Daily Memo
 
Wealth Management Daily Memo

NOVEMBER 15, 2022

REGULATION AND COMPLIANCE

SEC Recovered Record $6.4B in Civil Penalties, Disgorgement in Fiscal Year 2022

The record amount of civil penalties was driven in part by the fines against some large Wall Street firms for failing to preserve text message communications on personal devices.

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PEOPLE

CFP Board Elects 3 New Directors

Marguerita Cheng, Richard Shaw and Steve Wallman have been elected to three-year terms on the CFP Board of Directors.

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WHITE PAPER

Capitalize on the Benefits of a Digital Account Opening Solution

Open accounts faster than a robo advisor and still provide a personal touch.

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RIA EDGE PODCAST

Schwab’s Jalina Kerr on How RIAs Can Grow By Design, Not Default

Schwab Advisor Services' Jalina Kerr discusses how RIAs must be intentional about how they drive meaningful organic growth.

Sponsored by Schwab Advisor Services

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HIGH NET WORTH

Crypto Billionaires With $96B Loss Add Distance From FTX

Their fortunes plummeting, crypto titans from Changpeng Zhao to the Winklevoss twins are eager to differentiate their businesses from the now-bankrupt exchange.

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FASTCHAT VIDEO

Transitioning Your Business Allows for Abundant Growth

Listen as Daren Dahmer discusses how transitioning his business has lead to an immense amount of support and growth.

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Podcasts

WEALTHIES CIRCLE PODCAST

Best-in-Breed or All-in-One? The Advisor Tech Stack of the Future

Our panel of technology experts discuss the latest developments in integrated technology and optimal ways to streamline your front and back office.

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INSIDE ETFS PODCAST

William Rhind on Maximizing Year End Planning with ETFs

Founder and CEO of Granite Shares, William Rhind, discusses the ETF market and how to prepare for the remainder of the year.

Sponsored by Schwab Asset Management

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SPONSORED WEBINAR

Don't Get Fined – Stay Away from Unstructured File Sharing Tools!

Join this complimentary webinar on Nov. 29th for a compliance and product expert-led discussion regarding best practices and key considerations for seeking out proven solutions.

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