Portfolio

The so-called Crummey technique has the IRS concerned, so planners might want to alert HNW clients before the opportunity is reined in.

Securities America and Triad, both divisions of Ladenburg Thalmann, slapped for "failing to supervise the use of consolidated reporting systems resulting in statements with inaccurate valuations being sent to customers."

Regulatory, recruiting and retirement issues dominated the agenda at the annual BISA conference. Here are some of the smartest things we heard from economists, executives and other industry leaders during the well-attended three-day event.

Family office execs report a rise in direct investments and so-called club deals as hedge funds fall out of favor. ''Families want to be in control," says one consultant.

Advisors and their HNW clients too often shy away from difficult conversations about inheritance planning. Here are some ideas for advisors to help start the dialogue.

Compliance experts are recommending that firms take a flexible, risk-based approach as they respond to the SEC's red flag rules, a new set of regulations for protecting clients against identity theft.

Advisors will be expected to keep records about the content they post on social sites just as they do with other materials on traditional channels, according to a senior commission attorney.

The planning network hooks up with Guide Financial to offer cash-flow software to clients.

The once fast-growing firm leaves LPL after a year and a half, hoping NFP's deep pockets will help it attract other advisors.

Pacific Investment Management Co., the world’s largest bond manager, said global economic growth will be steady over the coming 12 months because of asset purchases by central banks in 2013.