Industry

No matter how clean your paperwork is, a regulatory audit can still be nerve-racking. Here's how ours felt.

"Some of the volunteer work that I was doing early on just kept growing on me and I found that I love being able to create change," says Russell Goldstein.

Here's how the industry's leading experts say you can protect your data and your practice.

As their interest income dwindles, banks are looking to bulk up their wealth management businesses in a bid to boost their fee-based revenue.

President Barack Obama throws his support behind the Department of Labor's fiduciary proposal; advisors take to Twitter to voice their reply.

In a rare independent-to-employee move, four independent advisors joined the employee channel of Raymond James.

After the company combines its custodian and clearing businesses and launches a new tech division, advisors should be alert to any service changes.

Wealth-management profits fell 2.1% to C$230 million, after recording C$27 million in restructuring costs for its U.S. and international operations, while insurance earnings rose 18% to C$185 million.

The liabilities your broker-dealer faces when supervisors oversee wealth managers both inside and outside your practice.

Just after a $150 million deal to acquire rival Sterne Agee was announced, quarterly profits in the firm's wealth management division were up 6.5% year-over-year.