Practice Management

A new report by Celent warns that broker/dealers and RIAs could face challenges meeting Reg BI's Duty of Care provision, among other concerns.

It’s proved possible to continue servicing clients effectively and to run a retirement plan business remotely in an era of masks and social distancing.

As financial advisors adjust to remote working and navigating clients through the tough environment, some have put prospecting on the back burner.

The Ensemble Practice will award two scholarships a year to individuals going into its G2 Leadership Institute, a two-year training program for future leaders of advisory firms.

The Court ruled 8-1 in Liu vs. the Securities and Exchange Commission that the practice was allowable provided that the fees did not exceed the "wrongdoer's net profits," according to a majority opinion written by Justice Sonia Sotomayor.