Financial planning

Strike a balance between remaining friendly with clients' family members and effectively stopping persistent and inquisitive ones from sussing out details that should remain confidential.

A continuity plan should be simple and spell out how unexpected interruptions could affect the business and how to safeguard the firm, employees and clients.

Understanding regulatory and compliance responsibilities about cybercrime can go a long way in preparing planners to face the threats.

Fidelity expects giving to Ebola relief efforts to continue to rise; offers advisors tips for advising client charitable strategies.

Agency secures $4 billion in penalties; expert says: “make sure that you have a robust and dynamic compliance program.”

Around 80% of KMS' advisors, who are about equally divided between fee and commission-based business models, are based in Washington, Oregon and Idaho.

A majority of Americans nearing retirement are eyeing financial advisors for help with planning for the costs of health care, according to a new study from Ameriprise.

An extra step to protect inherited IRAs; What you’ll pay in the Medicare part-D doughnut hole; How much longer to you expect to live? Think again.

The recent FinDEVr conference showcased dozens of cutting-edge tools, platforms and technology integrations in financial services. Here are a few of the most innovative ideas I saw.

Long-term capital gains tax rates in 2014; IRS revises a limited-amnesty program for offshore accounts: Year-end retirement planning strategies

With mortgage rates at new lows, is it time for clients to refinance?

Even with $360 billion invested in smart beta, industry heavyweights say that more education is needed to make public aware of the strategies.

Surprise, retirees aren't that vulnerable to fraud; 4 questions to ask before retiring overseas; 3 mistakes that can sink your retirement

CFP professionals overwhelmingly value the certification: 92% say they are very satisfied with their decision to pursue it, and 97% chose to retain their certification last year.

Ameriprise and one of its advisors were fined by FINRA after an investigation revealed the advisor doctored client documents and the firm kept quiet about the changes.

Assets under management among SEC-registered advisors increased 12.6% in 2014 to $61.7 trillion in April, according to an industry report.

In tapping a discharged LPL broker, broker-dealer Wunderlich Securities could face 'reputational risk' and legal headaches, observers say.

What you should know about Social Security; How late-life marriage can hurt your retirement security; Don't let the market downturn do you in

'Fidelity enhances its reputation as a forward-looking firm and Betterment benefits from Fidelity's brand name and access to their advisors,' says industry consultant Tim Welsh.

Wealth management advisory work has evolved from the retail brokerage days of the 1980s, when advisors were considered salespeople.