client communications

Advisor Upside

Behind the SEC’s WhatsApp Crackdown

Photo by Mika Baumeister via Unsplash

The SEC has dished out more than $3 billion in fines regarding off-channel communications, with another 11 firms getting dinged this week.

2 min read

Photo by Federal Reserve Board of Governors via Public Domain Mark 1.0

Banking

2024: The Year the Rates Were Cut

The Fed’s September rate cut turbo-charged the stock market, but can the market keep up its bull run for 2025?

2 min read
Photo by Yan Krukau via Pexels

ETF Upside

PE Invasion Weighs on Wealth Management

The massive private-equity investments are causing concerns about its impact on the wealth management industry.

2 min read
Photo by JHVEPhoto via iStock

ETF Upside

Can Private Assets Reshape Index Investing?

New filings with the Securities and Exchange Commission are requesting permission to launch ETFs that hold both public and private assets.

1 min read

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