Corporate governance

Deloitte Financial Corporate's settlement over recordkeeping allegations probably would have been bitter had the company not cooperated.

UBS Group doesn't plan to make the large-scale job cuts seen at global peers as the business of making investments for wealthy clients continues to see robust growth, Chief Executive Ralph Hamers said.

The new year brings new regulations and the end of grace periods from federal and self regulators.

FiComm Partners and ProudMouth aim to give advisory practices the tools needed to use a relatively untapped form of marketing in the industry to attract clients.

As the regional firm aims to serve more high net worth clients, it plans to hire 60 experienced advisors this year.

Comments on FINRA proposal question of difficulty of getting meritless customer complaints erased.

The firm is rolling out team affiliations and internal career pathways into advisor roles, while looking to siphon off veterans from wirehouses by continuing a popular no-strings-attached transition offer.

The largest U.S. bank's new digital money coach, embedded in its Chase app, has a referral feature designed to capture more business for wealth managers and contribute to attracting talent.

After several years when the scandal-plagued bank was focused on cost cutting, CEO Charlie Scharf indicated Tuesday that the company has opportunities to expand revenue across every line of business.

The drama with one of the world's wealthiest families is a lesson in intergenerational finance.

JPMorgan Chase is planning to increase headcount in its Latin American private-banking unit by about 25% next year as the firm looks to attract more clients with $5 million to $25 million to invest at the bank.

UBS Group Chairman Colm Kelleher said the bank will focus on the very richest US clients, backtracking from a plan to serve a broader segment of affluent customers after it abandoned a deal to buy the robo advisor Wealthfront.

In her historic year, Kamila Elliott planted many seeds for improving diversity within, access to and awareness of the financial planning profession, but she says it has a long way to go.

The new employee model, appealing to high net worth advisors, is a step in the independent broker-dealer king's plans to scale up to ultra-high net worth clients.

Agency's critics say many companies still see their settlements as a cost of doing business.

CI Financial Corp. outlined a plan to reduce debt and separate its US and Canadian businesses as the fund manager tries to rebuild investor confidence in its growth strategy.

We are now accepting nominations for two prestigious rankings: Top 40 Brokers Under 40 and Top Regional Brokers Under 40.

Fidelity Investments is hiring an additional 100 people for its digital assets unit, stepping up an expansion that started in May and taking advantage of turmoil among crypto firms to lure talent. 

Supporters of panel credit it for collecting data on firms' C-suites, boardrooms. But it's unclear if Republicans in charge would walk away from the efforts.

Rankings compiled through FP's annual RIA Leaders study show how the largest firms are growing at a record clip in offices across the country.