Practice

Two issues that advisors have been closely watching are near the top of the commission’s list; namely, efforts to expand oversight of RIAs and enacting stabilizing reforms for money market funds.

You should not offer over-the-top services to all clients. However, when you decide which clients deserve the exquisite treatment, this is how you earn the right to ask for referrals

If you have clients with diminishing mental faculties, you need to know how to protect yourself.

A new withdrawal strategy from J.P. Morgan takes real-life spending habits into account and suggests clients could spend more at the beginning of retirement.

The world’s biggest bond dealers, including JPMorgan Chase & Co. and Morgan Stanley, failed to properly report trades to the industry’s price-tracking system more than 11,000 times. JPMorgan’s penalty: About three minutes of its annual profit.

The fund association maintains the industry is already heavily regulated, and in the event of failure a single fund can exit the market in an orderly process with little disruption, unlike banks.

'We were not as proactive as we should have been,' the CFP Board says, rolling out two initiatives aimed at resolving advisors' incorrect fee-only disclosures on its website.

Advisors who host an event to lure the well-heeled often end up being disappointed. Here are six steps to do it right.

You know that nervous feeling clients can get when they are worried that money is about to run out? It is not just mass-affluent clients; high-net-worth individuals experience that same nervousness. If you are in the investment business field, there are ways to deal with worried wealthy individuals.

Millennials represent $1.5 trillion in purchasing power and they want things the way they want them—if you want their business, you have to change, not them.