WealthManagment.com Daily Memo
 
Wealth Management Daily Memo

JUNE 29, 2023

REGULATION AND COMPLIANCE

SEC Report on Forced Arbitration Clauses Finds RIA Clients at a Disadvantage

Commissioned by the U.S. House Committee on Appropriations, the study confirms views that mandatory arbitration agreements imposed by fiduciary-bound RIAs can unfairly limit clients' ability to seek legal remedies from wrongful actors.

FULL ARTICLE

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WEALTH MANAGEMENT EDGE PODCAST

A Bull Market for Advice With BlackRock's Michael Lane

While markets have presented more challenges than opportunities over the last 18 months, the role of a financial advisor has never been more important—and both the demand for and access advice has never been greater.

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WHITE PAPER

6 Reasons to Leave the Wirehouse

Take control of your future through independence.

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CLIENT RELATIONS

Gen Z Investors Are Here—Are Financial Advisors Prepared?

Gen Z wants and expects a digital, hyper-personalized experience that helps them reach their financial goals.  

FULL ARTICLE

ETFS

Fidelity Plans to Convert $13 Billion of Its Mutual Funds Into ETFs

Fidelity will turn the six actively managed mutual funds into ETFs in November.

RELATED:  Fidelity Joins Spot-Bitcoin ETF Race With Fresh SEC Filing

FULL ARTICLE

WHITE PAPER

Grow Your HNW Business with Lending Tech

Help HNW clients with liquidity and enhance your competitive edge.

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Podcasts

RIA EDGE PODCAST

RIA M&A Midyear Update With Jessica Polito

A discussion of the drivers, motivators and market forces that have influenced M&A activity year to date with Turkey Hill Management's Jessica Polito.

Sponsored by Schwab Advisor Services

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FOCUSED ON THE FUTURE PODCAST

Leslie Tabor on Why Every Financial Advisory Firm Needs a Talent Strategy

Schwab's Leslie Tabor details the importance of a “people first, employees second” approach to corporate culture.

Sponsored by Commonwealth

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SPONSORED WEBINAR

The Psychology of Custom Indexing

Join this webinar on July 18th to discover the hidden forces that drive investor behavior and the unique strategies employed in custom indexing to optimize portfolio performance.

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