Compliance

Robert Cook said wealth management firms "must do their part."

The truth is, many investors would be horrified to learn the true extent of the fees they pay.

With the Labor Department and SEC signaling further potential changes in the regulatory framework, here's what advisers need to know now.

Leading RIA custodian is warning that BIC disclosures, legal liability in second wave of DoL rule could be devastating for small advisers.

Advisers may think their firm’s credibility stems from a big number. That’s not to say they should misrepresent their assets under management, Michael Kitces writes.

Experts stress that advisers are on the frontlines in detecting when senior clients suffer from diminished capacity or fall victim to abuse.

They seek a refund and damages after they said the firm directed them to its Thinkorswim website, according to a FINRA arbitration filing.

The challenges of new regulations may actually allow independent firms to grow and thrive—particularly those which embrace these four advice-centric features.

The wirehouse had held back on finalizing some aspects of its fiduciary implementation plan until the rule's fate was clearer.

The investor received 15 months in prison after pleading guilty to wire fraud.