WM Morning Memo
 
Wealth Management Daily Memo

DECEMBER 17, 2024

REGULATION & COMPLIANCE

How Paul Atkins Could Move SEC’s Enforcement Spotlight from Firms to Individuals

According to one expert, President-elect Donald Trump’s SEC Chair nominee may pursue cases where there is “fraud or harm” to investors rather than situations where firms fail to follow compliance policies.

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PEOPLE

LPL Promotes Marc Cohen to Managing Director

The move follows Rich Steinmeier's promotion from managing director to CEO, replacing Dan Arnold, who was terminated for cause on Oct. 1.

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WMIQ RESEARCH REPORT
2024 Trends in Trust and Estate Planning
Prepare for the future with expert insights — explore the latest findings on trust and estate planning trends in 2024.
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TECHNOLOGY
Opto Investments Launches Planner Tool
The addition is one more step toward simplifying the complexity of private market investments for advisors.
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PODCAST

Celebrity Estates: Jim Thorpe, Native Americans and the Land Back Movement

Estate planning specialist Alma Soongi Beck and law professor Jo Carillo discuss the legal battles surrounding Jim Thorpe’s burial controversy and what it symbolizes for Indigenous rights.

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Ten to Watch

Ten to Watch in 2025: Kyle Wiggs

Kyle Wiggs is co-founder and CEO at UX Wealth Partners.

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Ten to Watch in 2025: Dien Yuen

Dien Yuen is the CEO of Daylight Advisors.

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COMMENTARY

Solo RIAs Not Planning for Retirement Risk Extinction

Succession planning can be as simple as recreating the retirement planning process you walk clients through every day.

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