Morning Memo
 
Wealth Management Morning Memo

MARCH 14, 2024

REGULATION AND COMPLIANCE

Top 5 FINRA Enforcement Issues in 2023 Included Reg BI, Spoofing

Though the number of fines increased from 2022 by 63%, the disciplinary actions declined for the third straight year, according to an analysis from the law firm Eversheds Sutherland.

FULL ARTICLE

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TECHNOLOGY

Apex Continues To Make Moves To Compete With Big Three Custodians

The firm revealed Tuesday it acquired AdvisorArch, a portfolio management company and rebalancer.

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WHITE PAPER

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ALTERNATIVE INVESTMENTS

FLX Networks’ New Program Aims to Educate Advisors on Closed-End Funds

Closed-end funds can help advisors achieve alpha for their clients, said FLX's CEO. However the market remains under-served when it comes to education and thought leadership.

FULL ARTICLE

FOCUSED ON THE FUTURE PODCAST

Carina Diamond on Staying in a Beginner's Mindset and the Power of Reinvention

Carina Diamond details her personal approach with clients in the first episode of season two of the Focused on the Future podcast.

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