Corporate governance

Companies need to be able to pivot, and tech infrastructure can't be a hindrance.

Fending off cyber intrusions is becoming a cost of doing business, but when advisors find that their practice has been breached, they need to follow a plan for assessing the damage.

Financial advisors on the East Coast have solid reasons to be worried about Hurricane Sandy – and even those far from the wreckage should be concerned, too. Advisors’ and clients’ safety rank first, but advisors also have to be concerned about their offices and property, as well as those of their clients’ and their clients’ relatives. As vital as proper insurance coverage is, it often will not cover all losses, nor losses from the disruption of business. How prepared are you and your firm to deal with a major disaster, like Sandy? Far too many advisors have no disaster recovery plan to rely on for times like this. Here are 5 questions to consider regarding you, your firm and your clients after the worst of the hurricane strikes.

An unexpected windfall is welcome, but stressful. Here's a plan for helping clients cope.

Regulators want it. Investors may want it more.

When the European Markets in Financial Services Directive was adopted three years ago, fund managers appeared content. After all, more competition in markets would mean their broker-dealers would get a "better deal" for their firms and their clients.

No fund manager likes to fail in his or her trading strategies. It's bad for business.