Practice management

Securities America and Triad, both divisions of Ladenburg Thalmann, slapped for "failing to supervise the use of consolidated reporting systems resulting in statements with inaccurate valuations being sent to customers."

Advisors and their HNW clients too often shy away from difficult conversations about inheritance planning. Here are some ideas for advisors to help start the dialogue.

Compliance experts are recommending that firms take a flexible, risk-based approach as they respond to the SEC's red flag rules, a new set of regulations for protecting clients against identity theft.

Advisors will be expected to keep records about the content they post on social sites just as they do with other materials on traditional channels, according to a senior commission attorney.

The planning network hooks up with Guide Financial to offer cash-flow software to clients.

A former banker at a Credit Suisse Group unit facing a July 2011 indictment on a tax conspiracy charge is scheduled to plead guilty today in federal court in Virginia, according to court records.

Advisors and their HNW clients too often shy away from difficult conversations about inheritance planning. Here are some ideas for advisors to help start the dialogue.

The asset management industry has stepped up marketing efforts aimed at advisors, hoping to boost both sales and credibility.

The proposal would require advisors changing firms to disclose financial incentives of $100,000 or more in either upfront recruitment bonuses or deferred bonuses, according to FINRA documents.

SEC examiners frequently cite firms for insufficient disclosures, an SEC official says. Here are some of the most common conflicts that advisors fail to disclose adequately to their clients.

The Office of the Comptroller of the Currency has joined other regulators in seeking to simplify megabanks' myriad legal entities. But instead of being focused on helping a bank to unwind in a failure, the OCC argues simplification can greatly help operational efficiency.

Hiring the wrong person can seriously damage your firm. Here’s what to avoid.

Cybersecurity is an area of growing SEC concern and examiners will increasingly be expecting RIAs of all sizes to have in place more robust policies and procedures to deal with the growing threats to their information systems.

The commission is committed to moving forward on a uniform fiduciary standard for advisors and broker-dealers and also expects to finalize money market reforms by the end of the year.

Young Americans not only have little loyalty to banks, but many also believe that traditional financial institutions are on their way to irrelevance, a new survey shows.

While acknowledging discrepancies between BrokerCheck and state reports, FINRA says it is right to exclude some information and that other "missing" information is in fact included.

Wealthy clients who frequently request services beyond traditional financial planning can create a challenging balancing act for advisors who serve this highly sought-after client base.

Wealthy clients who frequently request services beyond traditional financial planning can create a challenging balancing act for advisors who serve this highly sought-after client base.

People underestimate the chances of dying from likely causes, like heart failure, while overestimating the chances of dying from an unlikely cause, like murder. This can cause big mistakes in retirement planning.

A "sunset program" for soon-to-retire advisors is already underway at some banks. But there is still much to be done, industry executives say.