Practice management

Proposals to crack down on private placement insurance contracts aren't close to becoming law. Here's how advisors and their clients can use them for the time being.

The ban comes amid heightened regulatory scrutiny of firms' messages on services like WhatsApp and posts on social media sites.

Women see and understand the research underscoring the benefits of diversity in leadership and want to align their investment dollars with this approach.

Wealth managers often plan as if their clients will live to age 95 — but few Americans do. New research suggests a different approach.

Most advisors said they see AI helping streamline internal workflow functions, but very few trust it to make financial decisions.

Advisors are faced with cutting-edge tech that will reshape the industry, as well as questions about its reliability.

A newly proposed rule would require firms to verify customers' ID information and check it against government lists of terrorists and criminals.

There's a difference between advising a client on a decision and making the decision for them. What happens when the client demands the latter?

The mammoth coup far outpaces other recruiting deals of recent memory.

Despite the apparent decline, the independent broker-dealer giant remains one of the leaders in advisor recruiting and merger and acquisition deals.

The plan comes as part of CEO Ermotti's goal of narrowing the distance between his firm and its U.S. wealth management rivals.

Advisors and other leaders in the profession have a unique window into what "wealth" really means. Here's how they defined it.

The federal banking regulator agrees that the former employees' claims against the failed regional bank don't belong in FINRA arbitration.

A dial of destiny, not a temple of doom, awaits financial planners who face AI-enabled wealthtech head-on.

The once-discraced firm has benefited from the recent strong rallly in cryptocurrencies.

Arbitration panels and courts have already shown openness to arguments that deferred compensation is protected under federal retirement law.

The disturbing nature of the claims and puzzling sequence of events add a fraught layer to what was already going to be a challenging CEO handoff from the founder.

Sixteen advisors argue the megabank owes them more than $270 million over false promises they were made when being recruited.

Executives at the Zurich-based bank say $27B in net new assets for the first quarter put the firm well on its way to its wealth management goals.

The advisory landscape is shifting as robo advisors are trending out, thanks to AI as the "next big thing" in wealth management. But that doesn't mean AI will make robo advisors obsolete.