Wealth management

The recent notification from FINRA, that the regulator will spot-check social media communications of its members, underscores how crucial it is for firms to have a robust social media policy in place. Here are 11 issues to consider in crafting an effective social media policy.

Here’s a sampling of bank reps who were recently promoted or moved to new organizations to assume roles of greater responsibility.

To stay competitive in attracting the next generation of clients, advisors will need a strong digital presence. Social media is a big part of that, says UBS advisor Mitch Slater.

FINRA's social media spot check notification last week shouldn't come as a terrible surprise to the industry. The announcement underscores the need for firms to thoughtfully develop clear policies to supervise and manage usage, content and engagement.

Thinking of working for a family office? First look under the hood – and into the mirror.

Thanks to video conferencing, RIAs have a much broader array of hiring options to consider.

Pacific Investment Management Co.’s William Gross, the billionaire who runs the world’s largest mutual fund, is re-jiggering family investments in Pimco bond funds that have been beaten down by rising interest rates.

Municipal bond investors, spooked that interest rates' climb from record lows is accelerating, continue to pull money from the market in record-breaking droves.

Our current cover story in the magazine focuses on the state of the third-party marketers in the bank channel. One aspect of the industry that we were not able to include is a ranking of these broker-dealers by AUM. So we list them here for your perusal.

Are you looking to improve your relationships with colleagues and clients? Check out five simple steps from recruiter and consultant Rick Rummage.

Financial advisors are concentrating too much of their resources on baby boomers and not enough on the next generation of clients, suggests a new report from Cerulli Associates.

Two U.S. Senate aides nominated to join the Securities and Exchange Commission will get a confirmation hearing before the Senate Banking Committee on June 27, according to a Senate announcement today.

It’s common knowledge that Americans aren’t saving enough for retirement. But just how large a deficit is startling.

Assets in defined contribution plans flowed to target-date and international equity funds in 2012, according to a new tracking tool launched by the Defined Contribution Solutions group at Northern Trust.

To evolve and succeed, advisors have to make the transition from practitioners to business owners. As a result we've seen larger firms arising as advisors attempt to add scalability.

Tax-exempt money market funds' inflows slowed to $819.6 million in the week ended June 17 after a $3.13 billion surge the week before, according to The Money Fund Report, a service of iMoneyNet.com.

Now that I'm entering my second week of running my own RIA, it's time to get out there and find clients. While I have prepared many avenues in which to do this, one worked out quite well already.

To stay competitive in attracting the next generation of clients, advisors will need a strong digital presence. Social media is a big part of that, says UBS advisor Mitch Slater.

LPL Financial hired an ex-SEC official as its new general counsel as the firm continues to restructure its management team.

Seven financial advisors had their right to use the Certified Financial Planning certification marks permanently revoked in March as part of a series of public disciplinary actions announced by the CFP Board this week.