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Today's Headlines

Significant Disconnect Between Employees, Execs on Returning to Offices
Just one in five employees believe they should be in the office at least three days a week when Covid-19 isn’t an issue, compared to 70% of executives who do, according to a recent survey.
Texting for Business? Most Firms H8 It
Text messaging can prove a regulatory problem area both for financial advisors texting in violation of policies and for firms complying with recordkeeping rules, according to a recent survey.
Wells CFO: Wealth Management Success Not Tied to Product Manufacturing
The sale of Wells Fargo’s asset management unit is expected to have a “small, immaterial” impact on the bank’s bottom line, according to its chief financial officer.
Managing a Small Business Owner’s Retirement
Small-business owners often have their entire lives tied up in their business. Stepping away often requires extra planning and guidance.
Finra Fines Securities America Over Alleged Customer Privacy Lapses
The company allegedly knowingly caused recruited brokers to violate customer information sharing polices of their previous firms.
JPMorgan Shuts Mexico Private Banking Business
Meanwhile, UBS is reported to be mulling the sale of its Spanish wealth management unit.
RBC Wealth Mgmt U.S. Biz's AUA Up 11% Y0Y in Q1, FAs Up 3%
Revenues at the Canadian bank’s U.S. wealth management business ticked up 13.8% to $1.33 billion in the most recent quarter.
LPL Recruits Independent Wealth Management Practice in Michigan
WWK Investments, founded in 1974, previously operated its own broker-dealer and registered investment advisor firm.
Advisor Group Forms Board for Network-Wide Business Insights
The National Advisory Board’s goal is to help guide Advisor Group executives on strategy and product development.

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