Practice management

A time management study showed Amerprise advisor Susan A. Riley-Hayes how she could maximize her staffing levels and fee structure.

The CFP Board’s highly publicized $36 million 'Let's Make a Plan' campaign may have misled consumers.

The firms have been sanctioned by the SEC for violating the custody rule that requires them to meet certain standards when maintaining custody of their clients’ funds or securities.

Lawmakers are set to begin debate today on a bill that would delay, perhaps indefinitely, a proposal by the Department of Labor to impose a fiduciary standard on advisors to retirement plans.

Here’s the argument for talking your clients into taking less risk today to get higher returns in the future.

Regardless of how big my firm gets, we can’t lose the entrepreneurial mindset that got us where we are.

Women are earning more, inheriting more and controlling more wealth than ever before. This is a huge market awaiting every financial advisor, if he or she understands some key points about working with female clients.

Here’s why these questionnaires don’t work -- and a better way to assess how much risk a client should take on.

Public pension funds have been moving huge amounts of money into alternative investments managed by Wall Street.

Research conducted over 50 years on judging deception showed that the odds of accurately detecting lies are only “marginally higher” than pure luck.

The SEC is conducting nationwide, "limited scope examinations" of certain mutual funds that invest in Puerto Rico securities, according to a document obtained by The Bond Buyer and knowledgeable sources.

JPMorgan, under siege on multiple fronts by state and federal prosecutors investigating alleged wrongdoing at the largest U.S. bank, is in talks with federal prosecutors in New York to resolve allegations it helped facilitate Bernard Madoff’s crimes.

The most important reason to engage in pro bono work is to help those who are in need of free advice. But pro bono work can also pay off in other ways.

The Securities and Exchange Commission has voted unanimously to propose rules under the JOBS Act allowing companies to offer and sell securities through crowdfunding.

A renewed federal emphasis on financial literacy education could have an ancillary payoff for the financial planning profession: more new planners.

Clients often walk in the door with an idea about how they’d like to leave their assets. It’s an advisor’s job to help them understand issues they may not have considered.

Job insecurity has focused attention on the need for emergency cash.

With recent changes in marital laws, more gay couples are seeking the counsel of financial advisors to help them navigate the complex legal and financial landscape that comes with being in a same-sex partnership.

A former UBS AG banker surrendered to U.S. authorities to face a 2011 indictment that he conspired to help wealthy Americans evade taxes by hiding accounts in a smaller Swiss regional bank.

Almost three in four millionaires (73%) and almost as many mass-affluent investors (72%) reported being satisfied, up from 72% and 69%, respectively, last year.