A different way to think about happiness and success | Game plan needed to break into wealthy prospects' social circles | Digital experience a leading factor in picking adviser, expert says
July 13, 2018
FPA SmartBrief
A digest of news and industry updates for the financial planning community
Top Story
A different way to think about happiness and success
Happiness and success mean different things to different people, and we may need to rethink how we view them if we hope to achieve them and help clients achieve them as well, writes FPA's Dan Martin. He cautions that putting these two priorities in the wrong order could cause us to lose both and explains why we should think about happiness before success.
FPA Practice Management Blog (7/10) 
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Why Bosses Cut Some Employees Slack for Bad Behavior
The same transgression can lead to different consequences for different employees. Learn more about why this happens and the ethical implications for both managers and employees from this research by the Kellogg School of Management at Northwestern University.
Practice Management
Game plan needed to break into wealthy prospects' social circles
Breaking into the social circles of affluent prospects requires a strategy, writes Matt Oechsli. He offers tips for developing and executing a plan that can help advisers land invitations to social events.
WealthManagement (7/6) 
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Digital experience a leading factor in picking adviser, expert says
The digital experience drives the decision in choosing a firm for clients at all levels of wealth, according to Kelli Keough, global head of digital wealth management for JPMorgan Chase. When it comes to digital tools, advisory firms must "choose, use or lose," she said at the In|Vest 2018 conference.
Financial Planning online (7/10) 
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Policy Watch
FINRA requires information on brokers' digital assets
Broker-dealers should inform the Financial Industry Regulatory Authority if they are involved in digital assets or plan to engage in activities related to digital assets, FINRA said. FINRA should be kept informed even if the digital assets are nonsecurities, the regulator said.
ThinkAdvisor (free registration) (7/9) 
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SEC reportedly drops proposal to revamp shareholder voting
The Securities and Exchange Commission has abandoned a proposal to loosen requirements that constrain shareholders to voting for a full board slate from management or an activist investor unless they attend annual meetings in person, sources say. "Requiring physical attendance at many shareholder meetings in order to exercise such votes is impractical and antiquated," says Chris Phillips of the Washington State Investment Board.
Reuters (7/11) 
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House panel acts to help small advisers, older investors
The House Financial Services Committee has unanimously approved bills to ease regulatory costs for small financial-advisory firms and to establish a Securities and Exchange Commission task force on protecting seniors from financial abuse. Both measures are included in a legislative package on financial regulation.
ThinkAdvisor (free registration) (7/11),  InvestmentNews (tiered subscription model) (7/11) 
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Industry Report
Bond market indicates US economic downturn on horizon
A flattening yield curve isn't the only bond-market benchmark suggesting the US economy is nearing a downturn. Pricing of eurodollar futures indicates traders think major central banks will stop interest-rate increases in late 2019 or early 2020 to prop up their economies.
BloombergQuint (India) (7/9) 
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SPIAs offer alternative to stocks
Single premium immediate annuities provide an alternative to stocks as a source of income for retirees. Other nontraditional investment options experts say are worth considering include Series I bonds and real estate investment trusts.
TheStreet (7/9) 
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FPA News
Last day to access the best price for the 2018 FPA Annual Conference!
Each year, thousands of financial planners from around the world gather at the FPA Annual Conference to take part in an unforgettable educational and networking event. The 2018 FPA Annual Conference, to be held Oct. 3-5 in Chicago, is shaping up to be one of our best yet. FPA members can attend for an exclusive early bird rate -- $200 off the standard registration rate. This special rate (the best possible price for this year's event) expires today, so don't delay -- register now!
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Are you ready to address the adviser succession challenge?
In 2015, only 28% of financial advisers had a formal succession plan. Three years later, little has changed. Discover why and learn how you can address succession planning obstacles by accessing new research and a new whitepaper from FPA and Janus Henderson Investors. You can also learn more by viewing the Why Advisers are Failing to Plan for the Inevitable on-demand webinar. Jump-start your succession planning process by taking advantage of these FPA resources today.
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About FPA
The Financial Planning Association® (FPA®) is the largest membership organization for CFP® professionals in the U.S. and also includes members who support the financial planning process. Working in alliance with academic leaders, legislative and regulatory bodies, financial services firms and consumer interest organizations, FPA helps connect all in our membership through a variety of unique and compelling ways. Learn more at www.OneFPA.org.
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