The latest revision to state regulators' guidelines for non-traded real estate investment trusts could change who can invest and how advisors can recommend the products to clients.

Attorneys and other compliance experts say it's important that financial advisors greet any type of negative feedback with a thoughtful response — especially if it could turn into a legal matter.

After right-wing activist Charlie Kirk was killed, some workers found out the hard way that personal social posts had professional consequences. Experts say the time for firms to strengthen policies is now.

The Internal Revenue Service and the Treasury issued final regulations on the new Roth catch-up contribution rule from the SECURE 2.0 Act.

In its third suit in as many months, JPMorgan is accusing a former advisor of using its banking referrals to build a book of business and then trying to abscond with those clients to a rival firm.

Raymond James accuses the widower of an advisor of using data stored on his wife's company-issued computer to solicit clients for a rival firm.

Citi top executive Jane Fraser is the latest representative of the megabank to publicly express support for Andy Sieg following revelations that he had been the subject of an outside investigation by a law firm.

Fewer than 3% of U.S. advisory firms report registrations with foreign regulators, and the meager ranks reflect the difficulty of breaking into international markets.

In an opinion sought by Morgan Stanley, the Department of Labor finds the firm's deferred compensation "appears to be a bonus program" used to reward loyalty and good behavior and not a retirement benefit.

As AI use expands in wealth management, so too does regulatory risk. Experts at Future Proof shared what questions RIAs should ask vendors, along with tips on implementing firm-wide AI guardrails.