Firms that treat operational investment as a risk-management imperative — not just an efficiency play — are finding that their back office becomes a genuine advisor advantage. "Turning Operational ...

Switzerland's central bank has weighed in on the standoff between the Swiss government and Zurich-based UBS, arguing that the bank has enough capital to meet the government's proposed new requirements ...

How RIAs Are Making Internal Successions Happen ...

Merrill Lynch's financial solutions advisors have earned their full stripes. The wirehouse has eliminated the role of financial solutions advisor and elevated all existing advisors in that group to ...

The recent Financial Industry Regulatory Authority arbitration award ordering J.P. Morgan to pay $4.25 million to one of its former financial advisor after a dispute over a $642.50 Super Bowl platter ...

Registered investment advisory giant Mariner is facing a lawsuit accusing the firm of engaging in "a calculated scheme" to force out the financial advisor at the heart of a practice it acquired to ...

A U.S. Supreme Court ruling on Monday has given the president power to fire at will the heads of dozens of independent agencies — such as the Securities and Exchange Commission ...

Artificial intelligence will soon be doing most of the wealth management–related work for the mass affluent — which means human advisors who want to serve the truly rich may need to shine in a ...

Merrill Lynch has been fined and censured over its alleged failures to file suspicious activity reports over a more than four-year period, the Securities and Exchange Commission said Monday.

Artificial intelligence–based wealth management firm Arca Financial has raised $48.5 million in its latest funding round in a bid to tie in AI with financial advisors to serve wealthy investors ...

LPL Financial announced that it has added a financial advisor team that oversees more than $500 million in brokerage, advisory and retirement plan assets from United Planners Fina ...

As financial advisors map their retirement plans, one popular path involves a retiring advisor’s son or daughter joining the business so they can eventually inherit their parent’s book. After spending ...