Failure to detect 'spoofing' scheme costs BofA $24M
The fine arises from market manipulation committed by a pair of former employees over the course of nearly seven years.
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RBC wealth profits plummet despite advisor, AUM growth
Overall, Canada's largest bank saw its bottom line grow last quarter. But an American subsidiary is causing headaches for its wealth management business.
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Elements CEO Reese Harper says people are the best part of the business
The longtime advisor and fintech founder made his first trip to Future Proof to soak up a little bit of sun, and a whole lot of knowledge.
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Grayscale Trust becomes 'live betting line' for spot bitcoin ETF
Traders betting that regulators will approve a U.S. spot bitcoin exchange-traded fund sooner rather than later have all but evaporated a once-gargantuan discount on the world's biggest crypto fund.
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Heirs beat self-made billionaires for first time in UBS survey
New billionaires inherited more wealth last year than they created, a sign that the great wealth transfer is under way.
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Windes launches wealth management firm with Integrated Partners
Windes, a Top 100 Firm, is teaming up with Integrated Partners, a financial planning and RIA firm, in a new wealth management venture.
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The art of asking: How the right questions, worded precisely, can help older clients
By combining strategic queries with compassion and empathy, financial advisors can convey the message that older clients' legitimate fears around loss are understood.
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3 tips to close the wealth gap for Native and Indigenous people
Indigenous people in America are experiencing a "renaissance" of wealth creation. Experts share what advisors seeking to work with them should keep in mind.
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Millennials are on track for better retirement than boomers, Vanguard study finds
Baby boomers may be wealthier, but millennials have benefited from a number of retirement reforms, new research shows — and they still have more time to save.
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Case questions SEC right to haul advisors before in-house judges
A lawyer representing hedge fund manager George Jarkesy argues the dispute could be solved simply by letting defendants choose to take their cases to regular courts.
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Matt Middleton plans to turn Future Proof into a citywide experience
From the fans to the naysayers, the CEO of Advisor Circle says his team can't wait to host them in California as they march toward their goal of 10,000 attendees.
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How advisors can assess financial health and why it matters
Watch an on-demand discussion with Elements CEO Reese Harper on the importance and difficulty of assessing a client's financial well-being.
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How to have more impactful ESG conversations with clients
Christopher Knapp of Robertson Stephens joins the Financial Planning Podcast this week to help financial advisors cut through the noise and tackle ESG investing like a pro.
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Commonwealth Financial welcomes $3B team
Mammini Company moves business specializing in working with unions and corporate retirement plans away from Lincoln Investment.
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ESPN's Jay Williams wants athletes to be active participants in their finances
The basketball great and sports analyst says as opportunities grow for athletes and entertainers, so does the need for greater financial competency.
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Charlie Munger, famed investor and partner of Warren Buffett at Berkshire Hathaway, is dead
Munger, a famed investor who was the vice chairman of Berkshire Hathaway and Buffett's beloved sidekick, died at age 99 on Tuesday.
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5 ways financial advisors can maximize client 401(k)s
Changes under SECURE 2.0 that will impact contributions and retirement plan "leakage" when investors cash out instead of rolling over their 401(k)s are two of the issues advisors can help with.
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Giving Tuesday: What is the 'right way' to give?
The two strategies can complement each other, but success depends on starting out with a clear vision.
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Navigating tough holiday conversations with your clients
Americans live in a culture where money talks are taboo, but advisors can help clients overcome that and preserve generational wealth during the holidays.
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Morgan Stanley likes prospects in Silicon Valley
Brian McDonald, head of Morgan Stanley at Work, spoke with Financial Planning about how the firm aims to extend its roots in Silicon Valley and build on equity compensation offerings.
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