Practice

Advisors and their HNW clients too often shy away from difficult conversations about inheritance planning. Here are some ideas for advisors to help start the dialogue.

The asset management industry has stepped up marketing efforts aimed at advisors, hoping to boost both sales and credibility.

The proposal would require advisors changing firms to disclose financial incentives of $100,000 or more in either upfront recruitment bonuses or deferred bonuses, according to FINRA documents.

SEC examiners frequently cite firms for insufficient disclosures, an SEC official says. Here are some of the most common conflicts that advisors fail to disclose adequately to their clients.

The Office of the Comptroller of the Currency has joined other regulators in seeking to simplify megabanks' myriad legal entities. But instead of being focused on helping a bank to unwind in a failure, the OCC argues simplification can greatly help operational efficiency.

Hiring the wrong person can seriously damage your firm. Here’s what to avoid.

Cybersecurity is an area of growing SEC concern and examiners will increasingly be expecting RIAs of all sizes to have in place more robust policies and procedures to deal with the growing threats to their information systems.

Portability shelters up to $10.68 million from transfer taxes for couples in 2014, but HNW clients can benefit from additional tactics.

For wealthy and high-profile clients, privacy can be hard to attain. But most people don't want their personal lives made public, especially when they are going through a divorce. Here's how planners can help.

After variable annuity sales plunged in 2012, expectations are high for the coming years for new players and higher sales.