Risk

Advisors say it's important to help clients plan ahead of time in order to survive and ultimately rebuild after an emergency.

A Tax Court ruling that limited partners in an investment manager must pay Uncle Sam could cause some restructuring across the industry, an expert said.

Lawsuits before the Supreme Court and in lower federal courts across the country could further reduce enforcement powers at the IRS and the SEC this year.

Wealthy clients and other accredited investors should consider drilling deductions, opportunity zones and 1031 exchanges in 2025, an expert says.

Former financial advisors accused the firm of filing false disclosures about a template invoice their onetime employer claimed they sent to clients.

Northern adventures are all the rage, but wealthy clients planning to take these high-cost trips need insurance coverage that meets specific contingencies.

The decision hinging on the definition of "inventory" in the sale of a highly valuable position in a U.S. partnership resolved a saga that began 16 years ago.

The planning strategies for large individual equity holdings pose tax, investment and behavioral questions for financial advisors and their customers.

This year's election and a potential replacement doctrine with unclear boundaries could ultimately determine the fate of Labor's retirement advice rule.

Former President Trump is disavowing the conservative blueprint, which advocates for radical shifts in regulations and taxes that would reverberate in the industry.

Client discussions about legacy planning, taxes and financial objectives inevitably raise questions that, often enough, only insurance can address.

Should one number have so much influence over asset allocation? Researchers and advisors alike say it's time for the risk score to be reined in.

Relationships with vendors can make or break an advisor's business; FINRA officials and industry experts discuss best practices.

The broker-dealer watchdog is putting the industry on notice about the latest scheme attempting to extract client information.

Authors add that the asset class can still be a welcome source of diversification for investors who can stomach the risk.

The giant insurer fired three financial advisors based on false claims about their specialty insurance consulting business, according to their attorney.

One of the largest independent wealth management firms faces a big potential SEC judgment in a case that sheds light on industry revenue-sharing practices.

Coverage providers have come to expect that some clients will find fault with their advisors during down markets, whether the blame is warranted or not.

Leading the charge last year were risky leveraged vehicles and funds tracking the digital assets industry. That doesn't mean advisors are any more likely to embrace them.

The broker-dealer industry's self-regulator warns of risks also related to cryptocurrencies and off-channel communications.