In the current business and regulatory environment, firms and financial professionals have to know that their controls will protect client data. Use this cybersecurity preparedness self-assessment checklist to help determine whether you need to make upgrades, so that you can know exactly what to do and work more effectively with your IT services provider.
Like other wealth managers that have ceased reporting advisor numbers every quarter, Raymond James says the figures have lost meaning.
Midsize firm Arete Wealth is invoking President Trump's executive order on government "weaponization" in urging the new administration to withdraw the case.
Crypto enthusiasts' faith is tested as an executive order, a bitcoin sell-off and the introduction of meme coins by the president and first lady mark the first 10 days of his second term.
The media mogul is in court to allow him to change the terms of a trust — but it's not that easy.
Stifel chief executive Ron Kruszewski said surging markets have forced firms to be particularly choosy about which advisors they try to poach from rivals. That may change this year.
The industry self-regulator is also concerned about third-party vendors, anti-money-laundering policies and whether certain annuity products are in clients' best interests.
