WealthManagment.com Daily Memo
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| REGULATION AND COMPLIANCE | | | | | | Patrick Donachie | | The businesses will pay a combined $850,000 for allegedly using hypothetical performance in advertising without updating their policies and procedures to comply with the rule. FULL ARTICLE |
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| RIA NEWS | | | | Ali Hibbs | | President Thomas Carroll will take over the role from Andy Berg on Jan. 1. FULL ARTICLE |
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| WHITE PAPER | | | | Sponsored by Ares | | How floating rate direct loans have thrived in past periods of rising interest rates and market volatility. DOWNLOAD NOW |
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| RIA EDGE | | | | Craig West | | By combining the right strategies and embracing change, RIAs can adapt to the evolving market landscape and create a legacy that withstands the test of time. FULL ARTICLE |
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| HIGH NET WORTH | | | | Katelyn Husereau | | Virtual meetings require a different approach. FULL ARTICLE |
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| WMIQ EXCLUSIVE RESEARCH | | | | In partnership with Nuveen | | This new report examines the latest attitudes among advisors with closed-end funds – and their experience with these investment products. LEARN MORE |
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