Practice

Canadian fund managers will now be limited in the range of services they can pay for with commissions from clients for brokering transactions, based on newly adopted legislation.

The Securities and Exchange Commission said on Wednesday that it will hold an open meeting on July 14 to consider whether to issue a concept release on proxy reform.

The discount broker-dealer for investment advisers has launched an electronic platform that it hopes will appeal to investors in the municipal market.

While using technology, advisors expect aggressive growth over the next five years, according to a Schwab study.

As boomers try to stabilize their retirement assets, should they put their home in play?

Advisors with a sympathetic ear can find planning opportunities helping wealthy clients worried about higher taxes and market uncertainty.

Robert S. Matthews worked for Smith Barney and Citigroup for the past 25 years in its global private banking, wealth management and family office services units. He replaced Kevin McCabe, who was president and chief executive officer since Fieldpoint was founded in 2008.

UBS Wealth Management Americas struck an agreement with Richard Bernstein Advisors, a specialist in long-term, macro research.

State Street Corp. has sued three of its former executives for creating a new rival in securities lending.

The Federal Deposit Insurance Corp. is not waiting for regulatory reform's enactment to develop plans for a new resolution system.