Subject Root Tag

More advisor contact can boost client trust and satisfaction. That's key in a landscape where 75% of clients considered switching, or switched, advisors in 2023, a YCharts survey shows.

UBS reportedly planning to appoint investment bank chief Rob Karofsky to lead its U.S. business, where he'd focus on expanding into the U.S. wealth market.

Brokerages and industry lawyers say the conduct standard's key provision is its requirement that advisors consider alternatives to risky and expensive investments.

AI has become a crucial part of the conversation for wealth managers, as firms such as Goldman Sachs, Morgan Stanley and Citigroup consider how to deploy the technology.

The ESG closure rate is far outpacing last year.

The Securities and Exchange Commission, having already approved spot bitcoin ETFs, ought to follow through and grant the same approval to spot ethereum funds. Doing so would create a new surge of investment, with positive economic impacts.

Proposals to crack down on private placement insurance contracts aren't close to becoming law. Here's how advisors and their clients can use them for the time being.

At least 17 Republicans and one Democrat, Sen. Joe Manchin of West Virginia, have signed onto a joint resolution under the Congressional Review Act.

The ban comes amid heightened regulatory scrutiny of firms' messages on services like WhatsApp and posts on social media sites.

The consumer price index came in a little cooler last month, ending a streak of bad inflation data — at least for now.

Vanguard names former BlackRock executive Salim Ramji its new CEO to succeed the retiring Tim Buckley in July; Ramji will be the first outsider to lead Vanguard.

Women see and understand the research underscoring the benefits of diversity in leadership and want to align their investment dollars with this approach.

Officials from FINRA and SEC spoke on how they are examining AI and emerging technology while also raising new risk concerns like deepfakes, which could make voice recognition software obsolete.

Wealth managers often plan as if their clients will live to age 95 — but few Americans do. New research suggests a different approach.

The Wall Street giant distinguishes its custody service by being a pioneer in allowing private equity, private credit and similar investments to be used as collateral for loans to RIA clients.

Three regulatory amendments that are attached to the new "retirement security rule" display the stakes of the legal challenge already brewing in court.

The Internal Revenue Service cautioned consumers to beware of inaccurate advice which prompted thousands of taxpayers to file overblown claims and held up their refunds.

The Wall Street giant plans to use the money raised to originate, underwrite and hold loans backed by high-quality real estate.

Most advisors said they see AI helping streamline internal workflow functions, but very few trust it to make financial decisions.

Advisors are faced with cutting-edge tech that will reshape the industry, as well as questions about its reliability.