Business continuity

Career mobility and heightened client dependence are two unexpected by-products of extreme uncertainty, writes Jodi Perry.

As some firms closed their doors, the regional BD saw a selling point for new recruits and existing FAs in a different approach.

Regulators will conduct surveys and sweep exams to assess how your firm’s BCP handled — or didn’t — the COVID-19 pandemic

LPL advisor Kashif Ahmed tweeted his condition from the emergency room then focused on recovering, knowing his firm could run without him.

The privately held firm recruited more than 160 reps in the first quarter on the strength of its balance sheet, CEO Amy Webber says.

Financial advisors, broker-dealers, custodians and other firms are trying to do their part amid a public health and economic crisis.

My training in virology, laboratory pathology and emergency medicine gives me a different perspective of how to manage our society’s new path forward, writes M.D. and planner Carolyn McClanahan.

CEO Dan Arnold says the pandemic “will create some structural change across the market and the industry.”

Compliance attorneys for large wealth managers outline which questions are critical in light of the substantial regulatory requirements.

Here's what advisors need to know as the agency continues remote exams.

James Gorman is the first known case of a wirehouse executive contracting the virus.

Waddell & Reed rep Zachary Edwards is feeling much better and relieved that his friends, colleagues and loved ones appear to have avoided COVID-19.

Organizations and firms are donating N95 masks, providing resources at no cost and taking steps to protect employees and practices nationwide from the spreading pandemic.

How FAs and firms are adapting to a radically different business environment.

Senior leaders at the No. 1 IBD meet daily about the pandemic as large enterprises set their own continuity plans into motion with an eye toward ensuring operations.

Buyers and sellers both can benefit from a formula based on the future performance of the business, rather than a metric of current performance.

In a perfect world, a negotiated peace will make winners of all parties, including clients.

I underestimated Hurricane Matthew. I won’t do the same with this storm.

An advisor who is a former ballplayer set ambitious goals for 2021 with an alternate take on the hybrid strategy.

I told clients they need a plan. Turns out, I needed one, too.