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SEC, DOL Prepare Heavy
Regulatory ‘To-Do’ Lists

This month's Washington Insights column reviews the recent updated regulatory agendas of the two primary federal regulators of pension advisors and wealth managers: the Department of Labor and the Securities and Exchange Commission.

Editors' Picks

Selections from IWI publications, podcasts, partners and more.
Any article containing a 🔒 is exclusive to members through The HIVE, the Institute's community for curated content and discussion. Explore The HIVE today!


🔒 All Investing Has Impact: Valuing Impact Risk, Building a Better World, and Making Money Along the Way
From the Investments & Wealth Monitor

Why Have U.S. Household Taxes Soared?
From Knowledge at Wharton, IWI Executive Education Partner

Wealth in the Time of COVID: Context and Conversations for Successful Transitions
From the Investments & Wealth Monitor


🔒 Predicting Returns Using Behavioral Market Barometers
From the Journal of Investment Consulting

ESG and Sustainable Investing: A Discussion with David Callaway and Robert Powell, CFP®
From the Investments & Wealth Monitor

The Rise of the Mutual Fund Is Reducing Corporate Competition and Hurting Consumers
From Yale Insights (the Yale School of Management), IWI Executive Education Partner


🔒 And Now You Know ... the Rest of the Story
From the Investments & Wealth Monitor

The Great Repricing: Financial Advice in the Age of Climate Change
From the Investments & Wealth Monitor

The Trust Mandate w/Herman Brodie
Exceptional Advisor Podcast


🔒 Navigating the Myths of ESG Investing: A Road Map to Success
From the Investments & Wealth Monitor

How the Real Economy Gains—and Loses—with Better-informed Investors
From Knowledge at Wharton, IWI Executive Education Partner


🔒 Why ESG Matters
From the Investments & Wealth Monitor 

Investing with Impact: Becoming a ‘Responsible Steward'
From Knowledge at Wharton, IWI Executive Education Partner

Your Membership Questions Answered!

Whether you’re a new or longtime Institute member, you may have questions that arise during your membership journey such as how to submit your continuing education or the cost of upgrading your membership.

You can now find answers to all these and many more common member questions by visiting our FAQ page within The HIVE.

July 14 @ 4:30 p.m. ET

Corporate Efforts in Diversity, Equity & Inclusion—Top-Down + Grassroots = Change

1 complimentary CE hour

Part of the Diversity, Equity & Inclusion Webinar Series
Sponsored by Macquarie

July 28 @ 4:30 p.m. ET

The Future of Wealth Management: Tomorrow’s Multi-Faceted Team

1 complimentary CE hour

Part of the Diversity, Equity & Inclusion Webinar Series

October 3, 2022

Investments & Wealth Forum—Toronto 2022

7.5 CE hours

This intensive, one-day event will bring together 250+ exceptional advisors, market game-changers and financial experts from across North America.

CPWA Certification is Accredited

The Certified Private Wealth Advisor® (CPWA®) certification has been accredited by the ANSI National Accreditation Board (ANAB). Accreditation was granted after evaluation by ANAB against their standards on the processes required to earn and maintain the CPWA® certification. This means that the designation successfully demonstrates that the certification’s requirements, policies and procedures are fair, objective, open and transparent.

To meet the rigorous accreditation standard for personnel certifications, the Institute demonstrated its adherence to nearly 120 individual standards, including those that can be summarized in the following broad categories:

  • Independence
  • Impartiality
  • Transparency
  • Accountability
  • Continuous quality improvement

Now is the time to earn a certification you can trust that will set you apart!

Introducing Private Markets for Advisors

Developed by the Investments & Wealth Institute
12 CE hours + a certificate
Sponsored by Macquarie Asset Management

In recent years, the industry has seen an increase in the democratization of private markets, creating more opportunity for high-net-worth investors to access a previously inaccessible space. This course equips advisors with the knowledge and tools to leverage private market investments in their practices and diversify their clients’ portfolios. Advisors who are able to competently provide access to private markets can differentiate themselves in competitive markets. This certificate-based, online course teaches advisors valuable best practices for including private markets in their clients' portfolios.

Foundation Scholar Spotlight

Eilin Cabutto is a 2021 Investments & Wealth Foundation scholarship recipient.

“After getting my manager's support to pursue the CIMA® certification, I found out about the Investments & Wealth Foundation’s scholarship program. The application process was simple and today, I feel more empowered and confident in my conversations.”

Learn more about Foundation scholarships and submit your application today.

Visit The HIVE Knowledge Centers
Connect with peers. Explore content. Stay up to date on best practices. 

The HIVE was built with you in mind! Get the latest articles and research from Institute journals, share your own documents, join discussions, network with peers and get the industry buzz all in one place.

July 12 @ 10 a.m. ET

An Overview of the CIMA® Certification with guest speaker Kathleen Fitzgerald, faculty, Chicago Booth

July 12 @ 12 p.m. ET

An Overview of the CPWA® Certification

July 12 @ 1 p.m. ET

An Overview of the RMA® Certification with guest speaker Marcia Mantell, founder, Mantell Retirement Consulting, RMA® faculty

New Issue! Read the Investments & Wealth Monitor
'Sustainability Investing'


Sustainable investing has grown significantly over the past several years, both in the number of strategies and the assets under management, but it is often misunderstood by advisors and investors alike. The latest Investments & Wealth Monitor examines the merits and challenges of allocating assets with these evolving strategies.

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