Corporate governance

Experts from Bank of America Private Bank and other wealth firms share top tips on how to help clients and advisors connect with heirs.

Employees at 11 firms, some ranking as high as senior executive, stood accused of using WhatsApp and similar services to conduct business in violation of recordkeeping rules.

The proposal to replace in-person inspections still drives a wedge between investor advocates and brokerage industry groups.

Canadian CI Financial, in rebranding its U.S. wealth business, joins several other industry firms that recently played the renaming game.

Lisa Opoku follows Julian Salisbury out the door of the Wall Street stalwart.

A prominent compliance consultant lists the top reasons firms turn to outside experts for regulatory assistance.

The change follows multiple reorganizations of the Wall Street giant's asset management division.

Anna N'Jie-Konte discusses how advisors can grow their business by offering customized services to student loan borrowers and their families.

Serving over half of America's billionaires wasn't enough for the country's largest bank.

The Securities and Exchange Commission approved new rules that would require entities to disclose material cybersecurity incidents.

The head of private wealth management in the Americas says he was once skeptical of the idea of the "great wealth transfer." No longer.

Independent advisors deal with clients' tax woes as well as their own. Year-round planning can lower stress levels.

The Wall Street giant struggles amid plans to rely less on its own balance sheet and more on fees from managing others' investments.

The pair of wealth management executives discussed how trends they've unearthed in their first 100 days will exercise great influence on the firm's future plans.

Dominique Henderson wants to help planners find leads, niches and longevity after guiding many of them into the field in the past four years.

Despite sky-high advisor satisfaction ratings, many wealthy clients lack confidence in their financial situation and could leave in the future.

The firm's Wealth at Work division delivered strong results while the private bank stumbled.

The incoming multifamily office will push Pathstone above the$100 billion milestone in client assets under advisement.

The Wealth Consulting Group made its first acquisition since the deal that launched its hybrid RIA seven years ago.

Studies examining customer attitudes about their planner's identity often run up against the reality financial professionals say they experience.