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Compliance experts stress the importance of working out a game plan for how to handle an exam before the feds come knocking.

Berkery will be succeeded by Michael Blum as the chairman of UBS Bank USA. A Merrill Lynch alum, Berkery was part of the turnaround team at UBS' wealth management unit, and during her tenure, the lending book at its bank more than doubled in size.

One major help will be in helping participants think in terms of lifetime income — as opposed to accumulated balances — by requiring benefit statements to include income estimates at least once a year.

The two IBDs have agreed to pay restitution in one of the largest securities fraud cases in the advisor’s home state.

The bank sometimes ignored the advice of its own diligence vendors in packaging and selling loans.

While outpacing the S&P 500, the price tag is higher — the average expense ratio is more than 1%.

A directive on ETFs took the advisor by surprise after several years with the No. 29 IBD, he says.

The departure is the latest in a string for the wirehouse, whose broker ranks have shrunk by more than 300 over the last year.

The move suggests officials expect a lift this year and next from a tax overhaul passed by Republicans in December.

The Chicago-based community bank is the second bank this year to move its business from Invest Financial.

Speculation grows that any retailer with a robust e-commerce platform, physical ubiquity, brand awareness and trust could become a wealth management player.

The asset manager says its free tool for target date fund clients will "supplement the advisor conversation."

To protect their practice, advisors should know the answers to several critical questions about how vendors use and safeguard their data.

These funds can help clients put saving plans on autopilot, but they can also take on more risk than expected.

The firm seeks to diversify investment risk for clients by combining six internally managed liquid alternative strategies. Plus; other launches.

The trade group cautions that the SEC could outsource advisor oversight due to low examination rates.

People affected by autism are underserved by the wealth management industry. Here’s how one advisor set out to change that.

The move comes more than three months after Morgan Stanley and UBS quit the agreement.

The wealth management industry loves a good abbreviation. Here's a way to help master the jargon.

After a federal appeals court strikes down the fiduciary rule, a legal path forward seems uncertain, but the regulation has already made its mark.