How Clearing Firms Embraced Innovation
A tougher, revamped clearing industry pursues its high-tech future.
Just How Hot Are Liquid Alts?
Experimenting with alternative mutual funds is a complex and risky business, Michael Finke writes.
Come April, if not earlier, taxes occupy a huge space in your clients’ brains. If you’re providing tax advice, taxes are taking up valuable real estate in your brain, too, if they haven't taken over entirely.
Dishonest Services: SEC’s Fight Against Public Corruption
We often think of laws to combat corruption as anti-bribery and anti-kickback laws. But the SEC is increasingly using securities fraud laws as a tool.
Aiding and Abetting: How Client Wrongdoing Can Hurt You
Most financial advisors would refuse to aid and abet a client in breaking the law. But sometimes the situation isn't so clear-cut.
How to Take Over a $1 Billion Practice
The anatomy of a high-stakes Morgan Stanley practice acquisition.
The Evolving Idea of Retirement
History provides perspective for making retirement decisions today, Michael Finke writes.
Strategizing Like a Statesman
It's not that often that the private sector turns to the political arena for inspiration. But there's one remarkable political skill that businesses should note.
Global Clients Need Global Advisors
Taxes, culture, time zones—advising a client a continent away, whether they’re there permanently or temporarily, is challenging.
Health Care in Retirement: How to Help Clients Plan
Financial advisors take a growing role in optimizing clients’ health care spending.