Wealth Management Daily Memo

JUNE 25, 2020

REGULATION AND COMPLIANCE

CFP Board Tightens Enforcement Ahead of Code of Ethics Implementation Date

Diana Britton

As the result of background checks of all 87,000 CFPs, the group is now investigating 1,240 of them for possible misconduct.

PEOPLE

Wells Fargo FiNet Adds $3.2 Billion in Recruited Assets Since March

Erick Bergquist

The president of Wells Fargo’s independent unit, Kent Christian, details the firm's recruiting amid the pandemic.

SPONSORED CONTENT

Navigating Uncertain Waters: Preparing for a Post-Pandemic World

Sponsored by Franklin Templeton

Dr. Hasenstab and team examine the economic implications of the global pandemic and look ahead to a post-virus world.

RETIREMENT PLANNING

Managing Retirement Plans Through the Pandemic

Ed McCarthy

It’s proved possible to continue servicing clients effectively and to run a retirement plan business remotely in an era of masks and social distancing.

SPONSORED CONTENT

Client Acquisition and Retention

Sponsored by American Portfolios

Optimizing the Advisor's Toolbox.

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