Practice management

For those nearing retirement, a market downturn may be something they simply can’t afford to endure. Without enough time to make up for the damage to their portfolios, they won’t be able to afford the retirement lifestyle they had envisioned.

Javier Martin-Artajo, the former JPMorgan Chase banker accused of helping hide trading losses that eventually surpassed $6.2 billion, told a Spanish judge he opposes extradition to the U.S.

The well-heeled are worried because they know their children can’t handle the money they’re going to inherit—so you need to teach them how.

Advisors, attorneys and accountants are increasingly recommending donor-advised funds to clients interested in charitable planning. Here are some questions advisors should ask fund sponsors when helping clients select the right one.

Want to work with more female clients? Don't make the mistake of assuming that they're all the same.

At the Schwab Impact conference this week, four growth experts discussed how advisors can overcome these obstacles -- offering a mix of high-tech and high-touch solutions.

A group of former Morgan Stanley directors is hoping their new start-up will let them capitalize on the industry’s aging demographics.

The toughest conversations that advisors need to have with their clients have nothing to do with investment strategies.

Taking notes during client meetings is important, but what are you missing while you’re busy trying to jot down what you are hearing and (not) seeing?

Activities unfolding within 3 separate industry rulemakers -- the SEC, FINRA and the Labor Department -- suggest changes ahead for both brokers and advisors.

Firms should reach out to clients early to pre-empt potential downturn in their portfolios, FINRA said.

The use of social media within an advisory practice has been the subject of much debate within the industry, but one of the most common arguments for advisors limiting or altogether barring sites like Facebook and YouTube within the firm -- compliance -- might be dramatically overstated.

It’s all about the story – if you want to attract and retain more women clients an advisor consultant told attendees at the Schwab Impact conference.

Deciding whether to impose a uniform fiduciary standard for brokers and investment advisors was a “high priority” for the SEC, but there is no timeframe for a rule, Commission Chair Mary Jo White said.

Wealth, widowhood, retirement strategies and practice management tips were all in focus in at the Women Advisors Forum in Chicago in October. Here are a few of the smartest things we heard in Chicago.

The three asset management firms are among those attempting to discount the credibility of a report released by the Office of Financial Research last month that argued such companies potentially pose a threat to the economy.

The Financial Stability Board lowered the proposed surcharge on globally systemically-important banks for Citigroup and Bank of New York Mellon, leaving JPMorgan Chase as the only U.S. institution to face the highest 2.5% capital buffer.

New registrants with the SEC or veteran advisors who haven't been examined in many years can expect to hear from regulators in short order, a prominent securities lawyer told attendees at Schwab Impact conference.

Wealth management firms seeking to recruit new advisors need to first develop a clear business strategy, executives tell attendees at Schwab Impact conference.

In a business update to CFP holders, the board presents research on its Let's Make a Plan campaign, clarifies its fee-only position -- and skips a discussion of recent controversy.