Risk management

Securing optimal returns depends on many factors, including the right underlying asset class and close monitoring.

NASAA’s annual survey of regulators sheds light on legal proceedings against BDs, RIAs and unregistered firms that often go unnoticed in the wider industry.

Too often succession plans tend to be all-or-nothing. There are better ways.

Some managers have taken on more risk amid a decades-long decline in interest rates and slow global economic growth to meet long term targets.

FinApps has filed a lawsuit that claims the data aggregator swiped its proprietary software, according to its lawyer Marc Kasowitz.

While some firms have been successful at leveraging technology to scale sales and marketing processes, others have failed.

The bank has been slashing expenses, but executives acknowledged they remain high. Between having to hire thousands of compliance employees and waiting on the next CEO to be named, investments in new technology or other long-term growth are limited.

The No. 1 independent broker-dealer failed to properly register more than 650 reps as agents, the prominent state regulator says.

Although the firm sees risk parity as a way to compliment holdings of its biggest customers, critics see a volatile fund that has underperformed.