Fintech Bytes: Fidelity integrates with Salesforce; RightCapital launched new tool
Here's a roundup of some of the adviser fintech news you may have missed this week.
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GOP agenda includes pressuring SEC, advancing tax legislation
The Republican party is favored to win the House in November's election. But even with control of that chamber, the legislative path for GOP bills is perilous.
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SEC charges former CNBC guest analyst with $3 million fraud
U.S. Attorney’s Office files a parallel criminal charge against James McDonald, who is believed to be in hiding.
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Market pullback, recession threat send more financial advisers to alternatives
In an RIA Lab discussion of what investors should expect from alternative investments, panelists note that fees are high and liquidity is limited.
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S&P 500 slides, taking out chart supports
As the spillover from the UK's proposed tax cuts washed into the US stock market, the index posted its fourth consecutive day of losses.
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Sustainable bond sales fall far behind 2022 projections
But for sustainability-linked bonds, sales are up 18% year-to-date compared with this time in 2021, according to S&P.
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How to help small-business-owner clients get started with their exit plan
Many owners of small firms don't plan their exit properly — or at all. Here are things advisers should keep in mind to help business-owner clients make plans.
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New NASAA leader wants Reg BI to give investors ‘best bang for buck’
Andrew Hartnett, who's deputy administrator for securities in Iowa's Insurance Division, has put assessing the broker conduct standard at the top of his priority list at NASAA.
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After Wealthfront, UBS dusts off plan to stress banking, tech and productivity
It's back to an 'organic plan' for the bank's wealth management business in the United States, says Iqbal Khan, co-president of UBS Global Wealth Management.
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Raymond James rolls out private wealth designation
The program offers six months of training in how to attract and work with high-net-worth and ultra-high-net-worth clients.
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Lerner Group promotes three to partner
Michael Schneider, Megan Kowalski and David Sokolovsky will lead initiatives in the family office space.
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New tool helps define retirement income styles
The Retirement Income Style Awareness profile matrix matches clients' preferences with financial solutions.
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Morgan Stanley study shows employees seeking beefed-up benefits
Sixty percent of workers say they're focusing more on their financial benefits compared to a year ago, according to the firm's survey.
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Recession may be necessary trade-off to regain control of inflation warns Powell
Federal Reserve officials raised rates 75 basis points and forecast a further 1.25 percentage points of tightening before year end.
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Recession may be necessary trade-off to regain control of inflation, warns Powell
Federal Reserve officials raised rates 75 basis points and forecast a further 1.25 percentage points of tightening before year end.
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Women take the lead at Advisor Group
The imperative for having more women in charge of brokerage and advisory firms is pretty clear — in the future women will control more of the nation's wealth.
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‘Central Park Karen’ lawsuit over firing thrown out
Judge rejects Amy Cooper's suit against Franklin Resources in which she claimed racial and sexual discrimination and defamation.
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Financial advisers debate the best way to charge clients
A new generation of advisers is critiquing traditional AUM fees and advocating for alternatives.
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Fed hikes interest rates by 75 basis points for the third consecutive time
The decision to raise rates was unanimous and officials forecast they would reach 4.6% in 2023.
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State regulators see decline in enforcement actions
But NASAA reports increase in both fines and restitution in 2021, with states collecting $145 million in fines and returning $312 million to investors.
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