The Latest

Let them know how — and how hard — you are working to secure their financial goals amid volatile markets.

Lower advisory assets and regulatory matters combined to offset the wirehouse’s rising interest revenue in the second quarter.

Vijay Pahuja is the business head for Sutherland's Insurance business. Vijay leads a team committed to continued growth, value creation and service transformation for insurance clients across all insurance segments globally. Vijay’s Insurance career spans over twenty-two years, with a proven track record of building business units, accelerating performance and maximizing value for Insurers globally. An Operations and Strategy professional by trade, Vijay brings depth across all segments of retail, commercial and group insurance, in transforming target operating models, product / service portfolio planning, and full-stack digital technology and analytics enablement. He has advised insurers worldwide on their strategy to build competitive advantage in their transformational efforts to introduce new products & services, promote innovation, change business models and expand globally.

Michael E. Toth is a market leader in EY's Workforce Advisory Services Practice, focusing on companies in the financial services industry. Prior to joining EY’s Workforce Advisory Practice, he was a senior member of EY’s Tax Credits and Incentives Practice for financial services clients, where he provided advice on a variety of local and state incentive programs.

Belinda Sharp Cline is a senior manager of ACA compliance and reporting at EY's national tax practice.

Stock market woes are depressing earnings for advisors who charge on client assets, but the pass-through benefit and a health insurance deduction can alleviate a lot of the pain.

Alongside other firms recently disclosing major regulatory cases, the Swiss bank is cooperating with an investigation by the SEC and CFTC.

A prized measure of performance — organic growth — is increasing for top-performing firms, Schwab’s latest benchmarking study shows

CogniCor will deliver AI-enabled solutions via Schwab's Provider Listings program, and an Ohio RIA is the first to get in on the new arrangement.

The RIA’s customers didn’t receive adequate explanation of its conflicts of interest from no-transaction-fee mutual funds, the regulator says.