Risk

Electronic messaging, Reg BI, crypto and fraud all appeared at the top of regulators' agenda this past year.

High net worth Americans are unprepared, research suggests, as risks from issues such as climate disaster and personal liability are growing.

The plaintiff in the class-action suit notes that returns at rival institutions rose when inflation started driving prices up last year. Her rates did not.

Some think lending to businesses outside the banking system can reap outsize rewards for advisors who are willing to do their homework.

Older wealth management clients fear serious health problems that could come with living longer. Advisors have a big role to play in helping them.

The proposals would let firms sign up for a pilot program to test remote branch inspections and require less frequent in-person exams of supervisors' home offices.

From ordinary couples to the ultrarich, people of any wealth level are vulnerable to financial abuse and domestic violence. Wealth managers, who can see into a household's finances, can make a difference.

Regulators promise to pay special attention to how firms are using technology to not only guide investments but also to protect client data.

The new offering will be only open to accredited investors and qualified clients.