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.
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.
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.
Global Clients Need Global Advisors
Taxes, culture, time zones—advising a client a continent away, whether they’re there permanently or temporarily, is challenging.
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.
The Keys to Safeguarding Your Client Base
These crucial skills can protect your advisory business from competitors.
Health Care in Retirement: How to Help Clients Plan
Financial advisors take a growing role in optimizing clients’ health care spending.
From Financial Pupil to Financial Planner
A young planner shares her experience moving up the ranks from a financial planning student to a full-fledged advisor.
Navigators: How to Guide Clients Through Big Life Changes
A new certification helps advisors with the human side of guiding clients through major transitions like retirement.