Citigroup lifer leaves head of wealth services role amid reorganization
The Wall Street firm is working on an overhaul of its wealth business structure.
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SEC says Kraken is running an unregistered crypto exchange
Regulator alleges that the firm used customer cash to pay expenses.
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Weaker greenback means EM currencies are rebounding
But profit-taking could spark near-term volatility.
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What is ‘deep tech’ and why is it now considered an established asset class?
Popular in venture capital, there are both challenges and opportunities for investors.
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‘Adulting does suck, but we’re here to support you’
Stoy Hall focuses on minimizing clients' financial worries, allowing them to concentrate on their families and wealth creation.
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SEC orders brokerage, two reps to pay $1 million for Reg BI violations
'The strategy involved frequent in-and-out trades that placed the broker’s interest in generating commissions and fees ahead of the customers’ interest in making a profit,' the SEC order states.
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Finra performance advertising proposal helps it keep pace with SEC marketing rule
'There seems to be a little more detail in the Finra rule about the guardrails on the use of the projections,' a compliance lawyer says.
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Bitcoin is having a moment
There’s a lot going on in the world of digital assets as advisors face questions about whether and how to use the asset class.
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Will employers pass the college planning test?
As federal student loan payments resume, parts of the SECURE 2.0 Act will soon make it easier to save for college or contribute to a 401(k).
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Bitcoin ETF hype has Wall Street eyeing crypto potential
The SEC is expected to green-light spot-bitcoin ETFs in coming months, and that's seen as kicking open investing in digital currency among both institutional and retail investors.
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Citi initiates restructuring with significant job cuts
Thousands could be affected as major bank slashes positions.
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Morgan Stanley taps Jed Finn to run wealth business
Finn was previously an executive at McKinsey & Co., as were co-president Andy Saperstein and CEO James Gorman.
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Independent advisory firm launches in Massachusetts with $650m in assets
Two advisors formerly affiliated with Morgan Stanley and UBS make the jump to new RIA.
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Increasing costs hitting financial advice industry
Expenses are rising: LPL Financial said in October that its core general and administrative expenses were up 15% year-over-year.
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Year-end QCD mistakes to avoid
The great tax benefits of qualified charitable distributions can be forfeited if the rules aren't followed.
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Garrett again battles for DOL rule
Sheryl Garrett, founder of the Garrett Planning Network, got a shout-out from President Obama in 2015 when he introduced a Department of Labor fiduciary rule. Now she’s joining the fight to support the Biden administration’s proposal
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The curious case of FTX and bitcoin’s surge
Many clients will see the legitimization provided by bitcoin ETFs as a reason to ask their advisors why they aren’t benefiting from the price increase.
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Finra in surprise proposal to allow predicted returns in marketing
SEC reviewing submission to allow 'useful' projected performance.
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Goldman Sachs Japan president in sudden departure
Hank Paulson-appointed regional boss abruptly out.
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Nepsis boosts tax and accounting capabilities with acquisition of full-service firm
National RIA firm will incorporate 70-year-old firm into its existing brand structure.
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