Corporate governance

The financial industry regulator contends firms are unnecessarily sounding the alarm that new policies will require going into the office five days a week.

Barriers keep CPAs, attorneys, financial advisors and brokers from communicating effectively for their client's benefit — and the benefits of collaboration are significant.

The partners at Pilot Financial have been through only one acquisition in their firm's history — the recent sale of Lincoln Financial's wealth groups to Osaic — and they're not eager to repeat the experience.

The independent broker-dealer giant contends in court that a federal judge went too far in telling a pair of its advisors that they couldn't reach out to clients they had while at TD Bank.

One year after it bought First Republic Bank, the largest U.S. bank by assets is launching J.P. Morgan Private Client, a new tier in its affluent-consumer services that brings together JPMorgan's brand with First Republic's concierge model.

Brokerages and industry lawyers say the conduct standard's key provision is its requirement that advisors consider alternatives to risky and expensive investments.

The ban comes amid heightened regulatory scrutiny of firms' messages on services like WhatsApp and posts on social media sites.

A newly proposed rule would require firms to verify customers' ID information and check it against government lists of terrorists and criminals.

The mammoth coup far outpaces other recruiting deals of recent memory.

Despite the apparent decline, the independent broker-dealer giant remains one of the leaders in advisor recruiting and merger and acquisition deals.