Practice

Three executives shared best practices around compensation in the fight to recruit, retain and support planners and other key employees.

The accounts are expected to grow by another trillion dollars over the next decade because of their tax and flexibility advantages, Daffy CEO Adam Nash said.

New Hispanic Market Certification Program launches this week to begin Hispanic Heritage Month.

Some 4,200 attendees have converged on Southern California for the third year of Ritholtz Wealth Management's annual outdoor "wealth festival."

With the increasing use of artificial intelligence-powered tools across the industry, experts remain confident that the technology could usurp human professionals, but isn't quite there yet.

UBS, Morgan Stanley, Ameriprise, Bank of America and Cetera were all on the losing end of some of the biggest recruiting deals this week.

A FINRA settlement accuses the firm of failing to supervise a broker who recommended frequent purchases and then resales of various investment products.

The proposed changes, including to brokers' "payment for order flow" practices, laregly come in response to frenzied trading in so-called meme stocks.

Former NFL star and UBS Head of Sports and Entertainment Adewale Ogunleye said professional athletes tend to prefer female advisors for whom "male ego" does not get in the way.

While the Auto IRA Act of 2024 is "long overdue" for some, others feel it represents the "nanny state."