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The regulator levied fewer big-ticket fines in the first half of 2013, according to a report from Sutherland Asbill & Brennan.

Amid growing industry debate over compensation disclosure, the FPA has changed the compensation disclosure options on its website.

The strength of America's financial system is a result of the diversity of its players, but that diversity won’t survive if our nation continues down the path of one-size-fits-all regulatory reform.

In the second quarter, fixed annuities experienced highest quarterly sales since 2011, according to data from Morningstar and Beacon Research.

A year ago, when opposition from the asset-management industry killed her plan to make money-market mutual funds safer, sec Chairman Mary Schapiro looked to Timothy Geithner, then the Treasury Secretary, to tackle “one of the pieces of unfinished business from the financial crisis.” It remains unfinished.

Building a successful fund requires a distinguishable brand, an effective marketing strategy, and a commitment to distribution support.

Bank of America’s Merrill Lynch has capped off the summer with a round of hires from Morgan Stanley and Wells Fargo.

BNY Mellon Wealth Management has rehired a former BNY Mellon veteran to oversee the business strategy for the wealth management business and spearhead the expansion of the sales force, the firm announced Tuesday.

Is your marketing material as effective as it could be? Here are some basic guidelines to help improve your message and practice brochure.

Given the prospect of a 30-year retirement and 3% inflation, even affluent clients may need to continue working past age 65.

Growth from both retail and institutional investors has been steady in what is now called ESG (environmental, social and governance) issues.

The bank’s new chief investment strategist is assessing the product platform and is looking to expand Webster’s investment offerings.

Blogging requires a commitment, but if approached the correct way, it should not be a burden. Here are a few tips that are currently helping solo advisor Dave Grant.

Sometimes it pays to build walls in the wealth management industry—as long as they keep competitors out and clients in.

A preview of the company’s new cloud-based CRM tool suggests a solid beginning.

Now that profits are at record highs, financial advisors' next priority should be better people management, according to the 2013 FA Insight Study of Advisory Firms: People and Pay. Cost control, solid productivity and soaring client profitability helped the typical advisory firm reach a profit margin in excess of 20% in 2012, the highest margin in the survey's five-year history.

The country’s 20th-largest independent broker has a new name and a new pitch to independent advisors.

In working on retirement plans with your clients, the most vital strategies can be playing defense and protecting them from their own temptations.

Ten years since the launch of the first equal-weight index, some persistent misconceptions about such indices remain. Here's a look at the role equal-weight strategies can play in a diversified portfolio.

If you have clients who are struggling with the regular investment goals you’ve designed for them, and just can’t seem to understand where the problem might lie, it could be time to ask this question.