Practice management

Firms and their advisors are paying increasing attention to the rising threat of cybercrime.

This year's examination guidance memos from the SEC and FINRA highlight the compliance issues that will be getting the most scrutiny. Have you been paying attention?

Did you read the most recent SEC funding memo to Congress? Bob Veres did -- and if he had the ear of Mary Jo White, here's what he'd say to her.

Advisors who work for larger institutions tend to cover fewer branches, which allows them to focus on service and increase production.

'Adviser' vs. 'advisor': A conversation with one regulatory expert raises questions about the ways that RIAs brand themselves to clients.

Plenty of functionality is missing from this debut product. But for the advisor on the move, there’s plenty to like as well.

No matter how clean your paperwork is, a regulatory audit can still be nerve-racking. Here's how ours felt.

Here's how the industry's leading experts say you can protect your data and your practice.

New survey from Merrill Lynch underscores the importance of advisors talking with retirees about selling or staying in their homes.

Each advisor needs a compelling tale to attract new business. Here's how to craft a strong message focused on the ways you best help your clients.

Retirement savers may consider rolling over their 401(k) assets to an IRA if they want to consolidate their retirement accounts and have an easier time managing their savings; Plus, the hidden threat to retirement.

Financial advisors and academics are helping retirees ensure their spending plans are on track by offering drawdown strategies that can adjust to age, account balance and other factors; Plus, five benefits of a capital gains retirement strategy.

President Barack Obama throws his support behind the Department of Labor's fiduciary proposal; advisors take to Twitter to voice their reply.

SIFMA's Karl Schimmeck discusses where the threats are coming from and what is being done to mitigate the risk.

A French prosecutor recommended charges for complicity in tax fraud and aggravated money laundering tied to a trust overseen by the firm's office on the island country.

In a rare independent-to-employee move, four independent advisors joined the employee channel of Raymond James.

Now that the Labor Department has pressed forward with a controversial proposal for advisors in the retirement space, where do the rules go from here?

While many of the fundamentals of bank programs haven't changed much, the products, technology and sophistication of advisors and clients alike have increased exponentially.

The megabank's commitment to its branches stands out in an industry where customers are shifting more of their banking activity to mobile devices and PCs, and where banks take an increasingly ruthless look at branch performance numbers.

Advisors should advise clients to avoid buying a one-size-fits-all product and to check offerings by as many carriers as possible before making a decision; Plus, how to counsel pre-retirees who want to give financial assistance to their adult children.