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A review of auditors that examine broker-dealers has unearthed an array of deficiencies in the process the firms use to evaluate their clients, including numerous of infractions that could amount to violations of SEC or FINRA rules.

UBS AG is starting a unit aimed at quantitative hedge funds that combines prime brokerage and services from its direct execution trading business.

Advisor-owned financial services firm HighTower has snapped up a Credit Suisse advisor team with about $1 billion in assets under management, marking the eighth team to move to the firm this year.

How might the world have been different if, starting 10 years ago, every would-be home buyer had access to a free and independent tool that showed them - in highly personalized and granular detail - precisely what they could and could not have afforded to buy? Would there have been a real estate crash at all?

Broadridge Financial Solutions has tapped Joe Contin to be General Manager, Broadridge City Networks EMEA.

Columbia Management is planning to further expand into the actively managed ETF space with 17 new ETFs.

Marketing expert Marie Swift says basic seminars are no longer a client magnet. Successful financial planners must be educators, networkers, and online trailblazers. Here are some ideas to get you started.

August's Top 5 Equity Vesting Awards

Chris Kirby says financial advisors often become hostages of their own "to-do" lists. That's why it's so important to create and adhere to a list of things that you're not going to handle so you can focus on the most important (and revenue-generating) tasks.

Prudential Financial Inc. has emerged as the lead bidder for Hartford Financial Services Group Inc.'s individual life insurance business, which may sell for about $1 billion, said two people with knowledge of the matter.