Coronavirus boosts insurance demand, creating a tailwind for fintech
Companies that connect advisors and carriers are seeing a surge in use.
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Best 2030-35 target-date funds of the decade post losses in 2020
The funds had posted gains over the past decade, but have suffered losses amid this year's coronavirus-driven volatility.
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Inside OCC's effort to extract $37.5M from former Wells Fargo execs
Newly released documents highlight the challenges that Carrie Tolstedt and four co-defendants are likely to confront as they face civil charges involving sales misconduct at the bank.
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As fees fall industrywide, some funds see price hikes
Still, clients continue to invest their assets into the industry’s cheapest funds and are saving billions as a result.
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$1.2B advisor quits UBS, goes indie with Dynasty's backing
The 30-year industry vet launched a firm on the Dynasty platform citing better technology and “freedom” as reason for the move.
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Should retiree clients take the RMD holiday in 2020?
Thanks to the CARES Act, retirees can pass on taking required minimum distributions but should they?
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SBA and Treasury streamline PPP loan forgiveness applications
The Small Business Administration and the Treasury Department unveiled a simpler loan forgiveness application for the Paycheck Protection Program to reflect changes under the PPP Forgiveness Act.
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Wells Fargo ties senior executive pay to improving diversity
Members of the bank’s operating committee will be evaluated annually on how much they have increased representation and inclusion of diverse employees in the operations they oversee.
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Lessons from the brink: How $4T of ETFs bounced back
As inflows soar and market dislocations vanish, an industry that consigned to history two major disruptions of the pandemic crash is back.
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Fiduciary rule redux? Democratic win in November could revive stringent regulations
A Democratic-led SEC could revisit Reg BI, advocacy groups and industry observers say.
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Why I quit the FPA, and you should too
Thousands of planners have dropped their memberships in recent years. Here’s why I joined them.
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Family offices lead global ranks with $396,000 salaries
About 6% of the country’s family offices have more than $5 billion of assets under management, while roughly a third control $500 million or less.
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Amid FINRA scrutiny of UITs, Advisor Group IBD settles case for $1.6M
SagePoint Financial failed to adequately supervise reps who recommended that clients exchange the products before maturity, the regulator says.
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Fired Raymond James advisor accused of defrauding WWII vet out of $900,000: SEC, DOJ
After the client died at age 98, the advisor allegedly moved on to bilk another elderly investor, authorities say.
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Fired Raymond James advisor accused of defrauding WWII veteran out of $900,000: SEC, DOJ
After the client died at age 98, the advisor allegedly moved on to bilk another elderly investor, authorities say.
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Widespread protests against racism sharpen focus of FPA’s virtual internship
“Especially in this time when we are thinking, ‘Is there going to be a shortage of opportunity,’ in comes this one. It’s put a lot of fire in me to learn as much as I can,” says new college graduate Kameron Kindle.
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Bridgewater’s assets shrank 15% in virus-fueled trading slump
Almost all of the decline reflects performance-related losses rather than client withdrawals, according to a person familiar with the matter.
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BlackRock jumps on the virtual-life bandwagon with a new fund
The ETF aims to track companies specializing in remote-working, learning and entertainment.
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Robinhood's Midas touch in stocks disputed by Barclays researcher
The role of retail investors in a 45% rebound since late March has been intensely analyzed, as a swarm of tiny buyers chased after recovery plays and insolvency stocks.
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Raymond James fires employee over Black Lives Matter clash
The firm said in a post on Twitter that it "has zero tolerance for racism and discrimination of any kind."
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