Practice

SEC examiners frequently cite firms for insufficient disclosures, an SEC official says. Here are some of the most common conflicts that advisors fail to disclose adequately to their clients.

The Office of the Comptroller of the Currency has joined other regulators in seeking to simplify megabanks' myriad legal entities. But instead of being focused on helping a bank to unwind in a failure, the OCC argues simplification can greatly help operational efficiency.

Hiring the wrong person can seriously damage your firm. Here’s what to avoid.

Cybersecurity is an area of growing SEC concern and examiners will increasingly be expecting RIAs of all sizes to have in place more robust policies and procedures to deal with the growing threats to their information systems.

Portability shelters up to $10.68 million from transfer taxes for couples in 2014, but HNW clients can benefit from additional tactics.

For wealthy and high-profile clients, privacy can be hard to attain. But most people don't want their personal lives made public, especially when they are going through a divorce. Here's how planners can help.

After variable annuity sales plunged in 2012, expectations are high for the coming years for new players and higher sales.

The commission is committed to moving forward on a uniform fiduciary standard for advisors and broker-dealers and also expects to finalize money market reforms by the end of the year.

Young Americans not only have little loyalty to banks, but many also believe that traditional financial institutions are on their way to irrelevance, a new survey shows.

While acknowledging discrepancies between BrokerCheck and state reports, FINRA says it is right to exclude some information and that other "missing" information is in fact included.