Financial regulations

The firm also asked for the suits filed in federal court to be thrown out.

The regulator, in a proposed final judgement, wants the former planner held liable for $123,000 spent on golf outings, shopping and cruises.

The move limits the bank’s ability to make golden-parachute payments and requires regulator approval before executives are hired.

"Advisers cannot just sell an all-Vanguard portfolio and hope to afford their fee," says Jonathan Steinberg, WisdomTree's CEO.

After more than three-and-a-half years at the helm, Mary Jo White made incremental moves to expand advisor exams, but did not move on structural reform or implement a uniform fiduciary standard, as many advocates had hoped.

A $650M firm serving HNW clients wanted help "navigating regulatory change."

Confusion among affluent taxpayers could lead to new ways to help clients.

Digital platforms have to overcome two key challenges to ensure they survive, according to the CEO of Orion Advisor Services.

Key people should be focused on rainmaking, not endless other tasks.

If you plan to join another firm or go indie, you’d better reacquaint yourself with this landmark agreement first.