Portfolio

Following similar glitches at Lloyds and the London Metal Exchange, a tech outage at UBS has renewed scrutiny on modern banking platforms.

Not all tech integrations are created equally. Industry experts discussed what advisors should focus on when evaluating potential additions to their tech stacks.

The Biden Administration rule for a fiduciary standard on one-time retirement-related advice died in two separate court decisions.

Authenticity and judgment will emerge as differentiators for financial advisors as AI tools reduce the cost of early-stage analysis.

A new annual compensation report by consulting firm Succession Resource Group explains how pay plans can boost — or detract from — the value of an RIA.

The RIA technology platform builds on its acquisition of AI-powered liability-optimization fintech Sora Finance last year.

A recent alert from the U.S. Securities and Exchange Commission flags ongoing compliance gaps in testimonials, endorsements and third-party ratings as scrutiny shifts to real-world practices.

Federal Judge David Nye sides with a broker fired over five years ago for placing trades without first obtaining his client's permission.

Many business owners wind up regretting how they exit from their ownership. That's why experts say financial advisors should ramp up their planning for it.

Penny Pennington has presided over a wide-ranging overhaul that has seen forays into alternative assets and banking but also heightened rates of advisor departures.