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.

Grandparents are advised to give cash gifts without putting their future financial security at risk.

Since Wells Fargo’s phony-accounts scandal broke in 2016, the bank has appeared contrite in public. In private, it’s a different story.

It’s crucial to know how much of a drawdown an investor can tolerate before panic sets in.

The purchase will add to one of the asset manager’s key businesses, Aladdin.

The Trump administration unveiled its proposed budget that includes provisions that would enable Medicare beneficiaries to contribute to a health savings account.

As clients live longer, advisor firms’ planning strategies are shifting to accommodate.

One tip for seniors: They should register their My Social Security account as early as they can before other people can create the account.

About 77% of people 50 and older want to stay where they are as long as possible, according to a survey. But clients who want to — or have to — move, have a number of options each with pros and cons.

The bank pledges to handle customer complaints better and reexamine its lending practices.

Financial advisors are uniquely poised to help clients' families with end-of-life planning needs when doctors and lawyers can’t.