Wealth Management Morning Memo

JULY 30, 2021

REGULATION AND COMPLIANCE

SEC's New Enforcement Chief May Bring Wider Net to Reg BI

Patrick Donachie

Former New Jersey State Attorney General Gurbir S. Grewal proposed a uniform fiduciary standard for that state, indicating a possible "expansive" interpretation of Reg BI in his new role.

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PHILANTHROPY

Advising Celebrities and Athletes on Charitable Giving

Clara Golla, Adam C. Sansiveri and Stacie Jacobsen

These clients have exciting opportunities to turbocharge their donations.

SPONSORED CONTENT

Why Data Security Should be a Priority for Advisors

Sponsored by The Investment Center, Inc.

Having a cybersecurity strategy is attractive to potential clients.

REGULATION AND COMPLIANCE

Investment Advisor Gets More Than 5 Years in Prison For Securities Fraud

Patrick Donachie

George Heckler is also facing litigation from the SEC in connection with an alleged scheme that lasted a decade and defrauded investors of millions.

MINDY DIAMOND ON INDEPENDENCE

10 Questions to Help Identify If You and Your Partner Are Still Right for Each Other

Mindy Diamond

Mindy and Louis Diamond provide an industry update on partnerships.

SPONSORED CONTENT

Bridging the Generational Gap:How to Attract Emerging High-Net-Worth Investors

Sponsored by Orion Portfolio Solutions

Emerging HNW individuals want to know that their advisors are acting in the best interests of their goals and financial futures.