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Wealth Management Daily Memo

SEPTEMBER 11, 2019

REGULATION AND COMPLIANCE

Lawsuits Against the SEC Could Complicate DOL's Own Fiduciary Efforts

Diana Britton

If the latest lawsuits challenging Reg BI are successful, that could send the Department of Labor back to the drawing board in its effort to re-craft a fiduciary rule for ERISA accounts.

FULL ARTICLE

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REGULATION AND COMPLIANCE

FINRA May Alter Its Rulebook In Light of Reg BI

Diana Britton

The agency will revisit its "rules that were adopted in the absence of a best interest standard," said FINRA head Robert Cook.

FULL ARTICLE

SPONSORED CONTENT

Women Over 50, Divorce and Investing

Sponsored by Hartford Funds

Learn how you can help female clients going through divorce.

Learn More

TECHNOLOGY

XYPN FinTech Competition: Bionic Tax Planning Take First

Samuel Steinberger

Turning client tax returns into a planning opportunity shouldn't be difficult, say co-founders of Holistiplan.

FULL ARTICLE

SPONSORED CONTENT

ESG Risks Affecting Municipal Credit Quality

Sponsored by Gurtin Municipal Bond Management, a PIMCO company

Read about the several evolving ESG credit risks that can materially impact an obligor’s credit profile.  

FULL ARTICLE