WM Morning Memo
 
Wealth Management Daily Memo

AUGUST 15, 2024

ALTERNATIVE INVESTMENTS


Secondaries Are Gaining a Foothold Among Financial Advisors
Funds that include secondary investments in private assets are a good gateway for investors new to alternative assets and are growing in popularity.
Read More >
REGULATION AND COMPLIANCE

SEC Charges 26 Firms for Off-Channel Communications Violations

More than two dozen broker/dealers and RIAs agreed to pay a combined $392.75 million in penalties, including Raymond James, LPL, Edward Jones and Osaic, among others.

Read More >

WEBINAR
Unique Assets: An Often-Overlooked Strategy for Ultra-High-Net-Worth Clients
Join us on Thursday, August 22, 2024, to learn how to leverage unique assets for ultra-high-net-worth clients and enhance your service offerings.
Register Now >
INDUSTRY

Federal Court Judge Halts Missouri Anti-ESG Rule

The Securities Industry and Financial Markets Association filed a lawsuit against the regulation that took effect last year, saying there was “no precedent for it in the securities laws.”

Read More >

PODCAST

The Healthy Advisor: Struggling With Anxiety With RBC’s Shareen Luze

For years, RBC executive Shareen Luze struggled with anxiety. But the more she was vulnerable and shared her story in the workplace, the more she connected with people. Today, she brings a unique perspective on the role a sense of belonging plays within corporate mental health strategies.

Read More >