Next year provides financial advisers with a unique opportunity to help wealthy clients and prospects.
Securities and Exchange Commission Chairman Mary L. Schapiro last week issued an open letter to broker-dealer chief executives, warning them to make sure supervisors are vigilant about conflicts of interests as they recruit registered representatives.
As Tiger Woods publicly acknowledged his “transgressions” earlier this week, his wife was looking into changing the couple's prenuptial agreement in order to collect more of the pro golfer's millions, according to published reports.
Clients will be able to rate their financial advisers using a website launched this week.
Rydex SGI has taken its alternative investment message to a new medium with the launch of a new website, <a hef=http://www.GetAlts.com>GetAlts.com</a>.
Schwab Institutional today unveiled a significant redesign of its website for financial advisers.
The popular MarketScope Advisor platform from Standard & Poor's has a new addition this week, a bond research portal.
Study after study has found that affluent clients, above all else, want three things from their advisers: comprehensive financial planning, high-touch service and regular communications.
Every successful financial services practice must build and maintain a professional network. At a minimum, this group of trusted professionals can supply you with information and be a resource for your clients.
In the wake of last year's market meltdown and the ensuing spate of financial scandals, many advisory firms are taking a second look at their compliance technology.
By now, everyone with a pulse is aware that the game for financial professionals has changed, and an entirely new set of rules has evolved.
The registered investment advisory firm Curian Capital this week launched a platform that it is classifying as a unified-managed-household solution.
In your best clients' eyes, are you a knowledgeable, informed resource? Do you know about issues that are of greatest concern to your affluent clients?
A few early-bird financial advisers are starting to make plans to hire new employees.
Envestnet unveils tax management overlay; Cabinet NG's document management software updated
Hong Kong regulators on Monday banned a former banker at one of Asia's top stock brokerages from the territory's financial industry for life after he was jailed for insider trading.
How do you deliver premium-level communications coverage to top clients when you're spread thin in terms of time and administrative help?
Although women constitute a significant amount of global spending, many feel that they are underserved by businesses, particularly in the investment industry, according to a recently released survey from The Boston Consulting Group Inc.
Summer is usually a time when advisers kick back and relax. But with revenue down across the industry, this summer may be quite different. Indeed, many advisers are suddenly looking for ways to fill the revenue void left by the market's downturn.
Financial advisers tempted to reward star employees with raises should think twice and instead offer them one-time bonuses, according to practice-management experts.
