Practice

The New York Department of Financial Services' letter indicating potential cyber rules are prompting concerns that the state's plans could lead to more stringent measures throughout the industry.

How recent regulatory changes mark a pivotal moment for client/advisor relationships

Technology adoption by managers is being driven by the need to become more operationally efficient, client demands for bigger returns and the peril of falling behind of regulator demands, says the head of one asset management firm.

The Cybersecurity Information Sharing Act, which has advanced far on Capitol Hill, promises to help businesses and government thwart cybercriminal attacks. But privacy advocates say the bill would make misuse of consumer data even easier.

CFP Board and TD Ameritrade make the case for a new center to attract and develop a 21st century workforce.

Advisors can assist their aging clients having a hard time keeping a family-run business in the family.

Settling charges that it had used false performance claims regarding an ETF-linked strategy, Virtus Investment Advisers agreed to pay the SEC $16.5 million in penalties.

Whenever markets drop, clients start clamoring to hold gold in their IRAs. Here’s what to tell them.

Seniors increasingly rely on their advisors, so don’t let them down.

Advisors using digital advice tools must implement compliance best practices to help mitigate areas of risk that technology — like a double-edged sword — can both cause and combat.