Practice

The strong winds of compliance are sweeping over an increasingly regulated advisory landscape. Here's what advisors need to know.

Clients looking to retire may want to consider relocating to these states to save on taxes. Plus: when it's ok to claim legal expenses, and why filing without receipts may be the new norm.

Bring in suitable clients in the first place, so they can reel in similar prospects.

Depending on what is permissible under the Labor Department's forthcoming rule, "there will have to be adjustments on the part of the advisor and on the part of the firm," CEO Jim Cracchiolo says.

The new 401(k) platform officially launched with a group of 50 employer-clients, after spending the last quarter of 2015 building its automated investment advisory service for employers.

Norm Champ, a former SEC official who shaped rules meant to prevent runs on money-market mutual funds, is joining law firm Kirkland & Ellis.

Finding the right investment mix is challenging since it's an imprecise science and depends on market history and asset class valuations; Plus, what clients need to know about the first required distribution.

Managers are lacking in everything from entitlements, to data control, to network defense and lastly, people do not understand their risk.

Several factors should be weighed when clients are deciding whether they should defer taxes on their investments.

Regulators have placed greater emphasis on ensuring firms better understand and manage their own liquidity risk.