Practice management

In particular, the commission is looking for cases when advisors trade on behalf of clients without written disclosure and consent, or fail to process a trade on the most favorable terms for their clients, says an enforcement division co-chief.

Unity Bank, a subsidiary of Unity Bancorp, has opened a new division that will offer a wide range of investment products and services aimed at helping customers to grow and preserve wealth.

Thousands of Credit Suisse Group’s U.S. clients still don’t know whether tax authorities will learn their identities as prosecutors work to conclude a three- year probe of how the bank helped them evade taxes.

OCC bank examiner says banks have given their programs too much latitude and need to reclaim a more active role in oversight.

Deciding when to claim Social Security is one of the biggest financial decisions your clients will ever make and you need to be able to frame the discussion properly in order to help.

The advisor groups advocating for SEC vs. FINRA oversight of the RIA sector are turning their lobbying efforts away from the House.

Your wealthy client wants to sell his or her business. What can you do to help plan properly for this major liquidity event?

The focus on dual registrants grows out of concern that the different compensation structures of the two business lines can create conflicts of interest and potentially harm investors, according to an SEC director.

FINRA's BrokerCheck reports are missing key 'red flag' information, leaving investors in the dark about numerous blemishes on brokers' records, claims an advocacy group for investors.

Your wealthy client wants to sell his or her business. What can you do to help plan properly for this major liquidity event?

New skills and new training are necessary for advisors to succeed in today's market, but banks and broker-dealers have not made it a top priority.

Despite some bright spots, the bank channel has some surprising areas in need of improvement, according survey findings unveiled at the annual review-and-preview at this week's BISA conference.

Now that financial regulators have finalized rules on social media interaction, firms like ING are, slowly and cautiously, beginning to let advisors experiment with social networks.

Bank executives expect to boost revenue from their wealth management practices 25% or more in the next five years, with some anticipating a 35% contribution to total bank revenue.

Detroit agreed to pay $77.6 million to UBS and Bank of America's Merrill Lynch unit to end interest-rate swaps that have cost taxpayers more than $200 million since 2009, according to a court filing in the city's bankruptcy.

“Executives today don’t want a higher position so much as a broader position," says Kathy Freeman. "They want to be stretched and challenged, and they want an opportunity to grow."

In 2013, they produced an average of $381,411 in revenue for their financial institutions, up 31% from the previous year.

A $300 million settlement by JPMorgan Chase & Co. and insurers with homeowners who accused the bank of taking kickbacks in exchange for sticking them with overpriced insurance policies was approved by a judge.

U.S. regional banks see favorable growth prospects in Canada. Its limited number of banks seems to invite competition, and its regulatory and economic climates are considered more favorable than those in the U.S.

Most businesses start out small, and many don't survive. But for advisors who take the long-term view, there is a wealth of opportunity.