Practice

Asset managers that stay on top of regulatory demands not only keep authorities happy, they gain a competitive advantage against other firms, says one fund administration executive.

Despite counterparty risk, these vehicles feature tax benefits for clients that ETFs don't.

During the transition in independence, avoid running afoul of legal breaches and other quicksand that can drag you down.

Only 25% of retirement savers who qualify for this tax credit are familiar with it, according to a new survey; plus, the two best ways to structure a QLAC.

Few independent firms will be unaffected by the change, and if they don’t get cracking, they may "find themselves in a costly and time-consuming game of catch-up," argue Robert Cirotti and Gabriel Garcia of Pershing.

As part of a multi-year initiative, the commission has unearthed numerous deficiencies in how advisors and brokers work with and market to clients planning for retirement.

The firm has launched a new online tool that it says will help advisors at partner banks and credit unions expand their relationships with clients.

One impersonated a client, another grabbed client funds via ATM withdrawals and a third stole from a nonprofit, FINRA says.

A new study finds that 36 online calculators provide "extremely misleading" advice about retirement planning; plus, dreams of living well in retirement dim for Americans.

The industry regulator handed out a lifetime ban, fines and suspensions to three brokers involved in a scheme to pump up the trading price and volume of stock.