The SEC must be more transparent about its new questionnaire. What is the ultimate purpose? What justification is there?
Other hot topics include retirement withdrawal strategies, cash-flow planning and taxes.
Through its queries to financial advisers, the regulator is asserting its presence in an area normally associated with the Labor Department.
The Labor Department wants to update the fiduciary standard, raising the bar for any advice given by brokers. A change is long overdue, says the former SEC chairman.
Make sure your clients comply with deadlines for taxes, Medicare, Social Security and retirement distributions.
Financial adviser technology M&A activity totaled nearly $4 billion in 2015, led by SS&C's blockbuster acquisition of Advent and marked by smaller deals for services ranging from financial planning software to robo-adviser technology.
As the robo-adviser movement gains traction and giants such as Schwab and Vanguard flex their muscles in the space, competitors are trying to outmaneuver each other to survive.
Here are seven ways to make sure you get the most out of your day.
New dollars coming from brokerage clients — still the most common route — are shrinking.
<i>Breakfast with Benjamin</i> An Ohio adviser is the latest indicted as part of a scheme to defraud at least 100 investors of more than $15 million.
This month's question comes from an adviser whose clients decided to divorce.
As part of a strong cybersecurity policy, advisers need to pay more attention to stronger password, fingerprint scanners and other technologies to protect their data, especially as the Securities and Exchange Commission sets its sights on cybersecurity this year.
Let your staff focus on being productive on the job without the stress financial worries can bring.
Allowing employees more flexibility and control over their work routines can lead to greater productivity and a long-tenured team.
With the Fed likely to begin boosting its rate next week, advisers are preparing to answer a lot of questions — and preemptively communicating the move's impact.
A firsthand example of how hard it can be for investors to ignore something that looks exciting.
Client-relationship management program Microsoft Dynamics announced upgrades on Monday, but some financial advisers say the platform is still not ready for the big leagues.
As Morgan Stanley's head of wealth management, Greg Fleming, steps down, Jim Rosenthal, chief operating officer, is stepping up to take the reins of the firm's impending digital offering.
Avoid spreading sickness with this guide to the best desk disinfectants, immunity-boosting snacks and other advice for staying germ-free.
In spite of the political climate, pending regs and global unrest, advisers see a bright year ahead.
