Wealth Management Morning Memo

SEPTEMBER 22, 2021

REGULATION AND COMPLIANCE

NASAA: Nearly 60% of State Advisors Lack Procedures Protecting Senior Investors

Patrick Donachie

State securities regulators look to examinations in assessing advisor capabilities at spotting, helping curb elder fraud.

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TECHNOLOGY

iCapital Buys Structured Notes Firm Axio Financial

Samuel Steinberger

iCapital is expanding into the structured notes market, bolstering its offerings for HNW clients and their advisors.

SPONSORED CONTENT

REPORT: M&A Across Robotics, AI & Health Tech

Sponsored by ROBO Global

Why 2021 is set to be a record year for M&A in disruptive tech.

PEOPLE

Commonwealth Snags Former Dynasty CCO to Lead RIA Compliance

Diana Britton

Commonwealth hopes Alexander Hansen, the former CCO of Dynasty, will brings its compliance consulting support for fee-only advisors to the next level.

CLIENT RELATIONS

The Consumer Convenience Era is Here: How Advisors Can Keep Up

Angela Herbers

Convenience is quickly evolving into an essential element of any successful business. Advisors need to level up their digital experiences with clients to stay relevant.

SPONSORED CONTENT

Navigating the RIA Change Hyper Cycle

Sponsored by Advisor Engine

RIAs must brace for rapid change. As a leader, can you do more?