Client communications

Technology can make end-of-year client communications more interactive and engaging.

Probabilistic forecasts provide a durable framework for a sound financial future, the author says, and offers some for the new year.

Long-awaited advertising regulations allow for online testimonials but also increased risk of audits, observers and commissioners say.

Just like the industries that they cover, the lack of Black representation among news outlets acts as a barrier against understanding and eliminating systemic racism.

The worst fiscal crisis in decades is pitting U.S. states against one another over billions in taxes from residents working from home.

It won’t just change the composition of corporate board rooms. It may change conversations with clients too.

Planners and experts dive into wirehouse pay, charging clients at a higher rate, emerging business models and other key issues.

Maybe not, says FINRA — but if you’re IM’ing, using slides during the virtual meeting, or recording it, probably yes.

Investing in virtual tools is a must but planners must also seize this moment to expand practices and deepen existing relationships, writes Broadridge Financial's Michael Alexander.

While FINRA rules spell out what brokers generally need to determine a client's financial situtation, there can be gray areas, an expert says.

Advisors need a complete picture of the unique defined benefits and compensation a veteran receives.

Clients should save political beliefs for the polling place and letters to elected representatives; don’t let them cloud your investment decisions, writes financial planner Kimberly Foss.

The same words keep popping up in company titles. Here’s why that may be problematic.

The “one day at a time” mantra was particularly helpful in leading my team and clients through the COVID-19 pandemic.

Waiting until year end to factor in portfolio volatility is risky business.

As anxious as they may be to take advantage of the opportunity, there are pitfalls and hidden costs, advisors warn.

Today's near-3% rate is pretty extraordinary. If you don’t have a professional loan advisor in your network, now is the time to get one, writes our columnist.

The COVID-19 pandemic has infected the service’s annual list of top tax scams.

A lawsuit will turn on whether UBS can demonstrate that Alexandra Van Meurs violated contract agreements when she and her team jumped to Morgan Stanley.

The widespread popularity of the compensation descriptor, long ballyhooed by RIAs, ultimately proved problematic for the CFP Board which has updated its standards.