Practice management

Looking at the range of services received by clients in all advisory channels, traditional wirehouses take the lead in catering to high-end client needs, according to research from Cerulli Associates.

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.

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

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 growing realization of the complexity of retirement planning creates opportunities for advisors, according to research firm Hearts & Wallets.

Ken Pfeil, the chief information security officer for the Pioneer companies, shares the security measures he's taken to keep cybercriminals and malware exploits from affecting the infrastructure he oversees.

Texas Attorney General Greg Abbott reached a settlement with Houston-area financial advisor R. Craig Rathmann, accused of colluding with RBC Capital Markets to limit competition on bond deals for municipal utility districts.

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

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

Deutsche Asset & Wealth Management lured away a managing director from J.P. Morgan.

Stifel Financial brings in a veteran Morgan Stanley advisor for a newly created client office in West Chester, Pa.

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.

The SEC plans an enforcement action against a former Wells Fargo compliance officer for altering report.

Waddell & Reed picked up an advisor from rival Edward Jones.

UBS has agreed to compensate 34 Puerto Rico-based investors for their losses in investments in their municipal bond closed ended funds.

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.