Next stop for Reg BI: Supreme Court?
Michael Kitces, co-founder of XY Planning Network, says the group is mulling its options after a federal court struck down the organization’s lawsuit against the SEC rule.
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Hedge funds are rushing to get out of bearish stock bets
Speculative investors bought a net 206,227 S&P 500 E-mini contracts in the week to June 23, the most since 2007.
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7 steps our firm is taking to support the Black Lives Matter movement
Some say conversations about race have no place in the workplace. We disagree.
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Refinitiv takes next step on quest for the ‘Holy Grail’ of wealth management
The company’s new suite of APIs is designed to help firms develop technology with its data, but they aren’t the only player using data to conquer advisor fintech.
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How to earn CE credits during a pandemic: CPA, CFA, CIMA
One of the certifying organizations has taken a Netflix-like approach to advisor education.
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Credit Suisse is said to freeze plans for Miami wealth hub
Talks had focused on plans to attract $15 billion of assets under management, mostly from wealthy Latin Americans, according to people familiar with the matter.
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Wealthy clients could be ‘hit the hardest’ in coronavirus crisis
As much as $16 trillion of global wealth may be wiped away this year as a result of volatility and economic fallout from the pandemic.
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Retirement plans: Why PE is in and ESG is out under new DoL guidance
Secretary of Labor Eugene Scalia said retirement plans aren’t for “furthering social goals or policy objectives that are not in the financial interest of the plan.”
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How racial trauma, wealth and mental health collide in women’s financial lives
A new book could help advisors better grasp the difficulty with the topic of money among underserved client groups.
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Raymond James hauls in 9 wirehouse advisors with $825M
The advisors defected from rivals UBS and Merrill Lynch.
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Tax filing deadlines in the time of coronavirus
The extension also applies to Americans living abroad who would otherwise generally have had a filing deadline of June 15.
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New CFP Board background checks turn up concerns. 1,240 to be precise
The board is “decisively moving away” from allowing advisors to self-disclose, CEO Kevin Keller says.
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An $18B debt ETF powers revamp of VIX-like rates gauge
Cboe’s first new entry will be a suite of four volatility indexes with different tenors based on the iShares 20+ Year Treasury Bond ETF.
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Technology still isn't bringing self-directed clients to advisors
Instead of “disrupting” finance, Cerulli research suggests all-in-one financial hubs may be the way forward.
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Disillusioned UBS vet bolts wirehouse, declares independence on 65th birthday
After logging 27 years at the firm, the advisor is starting his “next 25-year chapter” as an independent.
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ESG investors confront a diversity problem of their own
The industry’s lack of Black people and other minorities may explain why the world of social investing has fallen short on pushing corporations on race.
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400 advisors, $26B in client assets: Massive breakaway RIAs show competitive recruiting fight in indie channel
LPL has reeled in about half of the reps changing their BDs so far this year, but the full RIA channel is also reaping big gains. Plus, other news in the indie space.
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RMD rollover relief granted under CARES Act
The rollover period has been extended to Aug. 31, allowing some clients to breath a sigh of relief.
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ETF issuers face ‘major missed opportunity’ in model portfolios
As much as 86% of investors in a recent survey say they would prefer prefabricated fund packages, as long as they were properly spelled out by advisors.
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BlackRock, New Jersey sued for alleged discrimination and theft
Asset manager Blueprint Capital Advisors claims they stole confidential business information and discriminated against the Black-owned firm.
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