Regulation

Custodied assets from advisers are shifting in unexpected ways, as Financial Planning’s exclusive research shows.

It allows more flexibility than some may think, according to executives from the two firms.

Corporations, banking trade groups and consumer advocates are looking for favorable legislation from Congress.

Even as the agency refines its approach to spurring good cybersecurity practices in advisers, its expectations aren't slackening. Here’s what to expect.

The rep was suspended for 18 months and fined $7,500 for allegedly adding his wife as a 50% primary beneficiary to a customer's variable annuity without the customer's knowledge.

Approximately $4,500 was used to sponsor a cricket club via a shell company, authorities say.

One alternative is a hybrid long-term-care policy with features of traditional LTC insurance and cash-value life coverage that grows over time.

One key factor is the adviser’s tone during the exam – is it conciliatory or defiant? And remember, the examination and enforcement divisions know each other.

The cases stem from the investment advice given by a now barred broker, who is accused of soliciting funds for a Miami Beach nightclub he owned.

More banks are implementing second-story adviser programs as they embrace advice-based client relationships in the wake of the fiduciary rule.