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Wealth Management Daily Memo

NOVEMBER 7, 2019

REGULATION AND COMPLIANCE

Schwab’s D.C. Expert: Don’t Overreact to Politics

Patrick Donachie

The markets tend not to overreact to most turbulent political and social environments, said Michael Townsend, Schwab’s head of legislative and regulatory affairs.

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PEOPLE

SEC Charges Phony Advisor for Ponzi Scheme Targeting Haitian Community

Asia Martin

The SEC filed a complaint against an unregistered advisor that promised investors returns of 20% every 60 days.

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ETFS

ETFs That Saw the Greatest Inflows in the Past Month

Aniket Ullal, First Bridge Data

With recession fears, uncertainty from impeachment and the upcoming presidential election looming, bond and bear funds saw increased flows.

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Study: Americans Lack Annuity Knowledge

Sponsored by The American College of Financial Services

Annuities remain a misunderstood financial product among consumers who are looking for greater security.

FULL ARTICLE