Morning Memo
Wealth Management Morning Memo

SEPTEMBER 5, 2020

INDUSTRY

Ten Finance Movies Every Advisor Should Watch

The best movies offer advisors important truths about the way real people behave.    

FULL ARTICLE

REGULATION AND COMPLIANCE

Massachusetts Starts Enforcing Its Fiduciary Rule

Industry stakeholders are now looking to Massachusetts to see how aggressively the state enforces the rule and gain insight into how other states may follow suit.  

FULL ARTICLE

PEOPLE

Mark Tibergien Returns to Talk Retirement, RIAs and PPP Loans

The RIA industry is going through a transformation and there are four catalysts behind it, says Mark Tibergien.  

FULL ARTICLE

REGULATION AND COMPLIANCE

DOL Fiduciary Proposal Critics Say New Rule Would Cause Client Confusion

Critics and supporters of the Labor Department's fiduciary exemption proposal spoke during an all-day virtual session.  

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REGULATION AND COMPLIANCE

Betterment's Search for a CCO Continues

The top compliance role at the robo advisor has already seen three changes in 2020, but recruiters are still looking for the right person.

FULL ARTICLE

RETIREMENT PLANNING

Trump Plan to Block Green 401(k)s Stirs Fund Industry Fury

Fidelity Investments says the Labor Department proposal isn’t “well grounded or supported.”  

FULL ARTICLE

INSURANCE

Whole Life Policies 101

Whole Life insurance is often misunderstood by both clients and their advisors. Here's a crash course.

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ETFS

A Rundown of August's ETF Launches

These funds all launched in the past month.

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REGULATION AND COMPLIANCE

State Regulators Question SEC's Private Markets Decision During Annual Conference

Incoming NASAA President Lisa Hopkins said the expansion of private markets without proper regulation and transparency is a 'potential breeding ground for fraud,' during the organization's virtual annual conference.  

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HIGH NET WORTH

How Dwyane Wade’s Advisor Helped Him Reach His Goals

The former NBA player opens up about how his financial advisor helped him get past his gambling problem and divest 16 cars.  

FULL ARTICLE