Wealth management

Both regulators have identified rollovers as a priority for their 2014 examinations, putting brokers and advisors on notice that they plan to scrutinize how they are working with clients who are planning for retirement.

As waves of baby boomers head into retirement, state and federal regulators expect to take a hard look at the programs firms have in place to ensure they are selling elderly investors appropriate financial instruments.

Most advisors make housing choices in their own lives, but fail to aid clients facing the issue, according to a Legg Mason survey of 506 advisors.

Pimco named four deputy chief investment officers in an overhaul of its leadership team after Mohamed El-Erian's decision last week to step down as chief executive officer.

President Obama's inclusion of retirement security in Tuesday night's State of the Union Address was mostly welcomed by the benefits community, but left some disappointed by a perceived "attack" on the 401(k).

Tax law changes may make it harder for advisors to show how specialized services are vital. Here's how to adapt.

A number of advisors took to Twitter to discuss the "MyRA" accounts unveiled by Obama in his State of the Union Address on Tuesday.

A UBS team of advisors with a billion dollars under management has left the Swiss bank to form IFM Capital Advisors, an independent registered investment advisor, with the aid of Focus Financial Partners.

When congressmen introduce bills that work at cross-purposes with the intent of Social Security, it's no wonder clients are confused too.

The financial crisis has had an enormous impact on millennials' attitudes towards investing, saving and success, presenting both opportunities and challenges for financial advisors.

When it comes to teaching financial advisors new skills, two instructors may be better than one.

RCS Capital has made the right moves thus far, the Pershing Advisor Solutions chief says, and the spending spree will likely continue.

An agency risk alert critiques the due diligence processes that investment advisors are using when recommending such investments as hedge funds, private equity funds, or funds of private funds.

What's to be done for people who have plenty of money, but just can't seem to enjoy it?

If the graying financial services industry is to replenish the ranks of retiring advisors and brokers, firms and trade groups must take a more active role in promoting the field to millennials, says Pershing's Mark Tibergien.

As the Financial Services Institute marks its tenth anniversary, the trade group is focused on expanding its advisor membership and ramping up its advocacy on legislation and regulation at the state level.

The stage may be set for a settlement after a judge denies the board's attempt to quash discovery & allows the Camardas' request to seek monetary damages.

The number of CFP professionals worldwide rose by 3.76% in 2013.

Western Asset Management, a unit of Legg Mason, will pay more than $21 million to settle charges of defrauding clients, the SEC said.

The world's biggest bond manager plans to start 19 actively managed exchange-traded funds as Gross further diversifies the firm following CEO El-Erian's resignation last week.