Practice

The bank agreed to pay $197 million and admitted that it improperly solicited thousands of American clients, ending a U.S. regulatory probe while a broader criminal investigation of tax evasion still looms.

The agency plans a deeper focus on the role and duties of financial advisors this year, says chairwoman Mary Jo White.

Moving ahead on priorities announced in January, the SEC says it will conduct examinations of a "significant percentage" of advisors that have not been examined since registering with the SEC.

Cambridge's Amy Webber says promotion is next step in complex internal succession plan.

Without viable succession plans, wealth managers are at risk of slowly drifting off into oblivion -- willing partners in their own firms' demise. It's negligent behavior, and anything but benign.

Firm's partners say they wanted 'control of our destiny -- we wanted to own our own equity.'

Make no mistake: Bringing on new talent is a high-risk endeavor. Be sure you get it right.

Social Security is a numbers game, with age being the key to many of the decisions. Here's a convenient reference list of the pertinent ages and what they mean for your clients.

To find qualified prospects, get out and speak at local organizations. Here's how to get started.

A well-planned event can help you reach high-level prospects—here's how to turn them into clients.