Raymond James sent notices to some of their advisors on Monday requiring them to give back fees they collected from selling a certain class of mutual fund in retirement accounts and charitable trusts...

Mind the Gap

Clients won’t compare your technology to your competitors. They’ll compare it to Amazon and Apple. The smoothest, most useful and intuitive online experience wins.

Failure differs from risk, mistake, error, set-back, screw-up, defeat and the countless other names we have for adverse events. For this article, I define failure as an outcome that falls significantly short of client expectations. By this defini...

It was clear to all 1,900 conference attendees: ETFs are here to stay

How about a little nighttime reading? | Copyright Alex Wong, Getty Images President Barack Obama wants to save the middle class, but just who are the people he's recommending receive a tax cut in his budget proposal? According to CNN Money...

Regulators' cybersecurity sweeps find that firms are suffering breaches, but prevention methods and insurance are widely adopted.

Do you learn to live with a compensation change or move on?