The record fine Finra meted out to LPL for failing to oversee its e-mail system is just the latest in the regulator's crackdown on digital diligence, reports Dan Jamieson.
At minimum, every advisor should have a personalized, written emergency continuity plan in place. And the best, most complete solution is a funded continuity and succession plan backed by emergency on-site support in the event of a challenge to business continuity.
After years of demonization and defections, the Big Four firms are going on the offensive.
Tax benefits come to the fore if inherited retirement accounts get the ax
The number of Alzheimer's sufferers in the U.S. is expected to triple by 2050. Mary Beth Franklin warns that the coming epidemic puts advisers -- and their practices -- at serious risk.
BlackRock CEO says employers should play key role in setting cash aside.
Most in poll say they'll be carrying substantial debt load from mortgages, cars and credit cards
SSanalyzer responds to competition and segmented market needs
With sales of deferred-income annuities up, carriers see an opportunity
Prudential's decision to raise the price tag on an already pricey VA has some B-Ds thinking twice about pushing the product. Darla Mercado reports.
Schwab announces several big projects at Impact 2012
Schwab Performance Technologies also makes announcements about custom-built client portals, reporting improvements
MetLife has trimmed a third of its adviser force amid a push to save $150 million a year by 2014. Question is, are the job cuts over?
Department seeking comments before proposing formal method.
Axa is the latest insurer to drop aggressive VA investment options, moving customers into funds that are less volatile. The shift will affect some 500,000 policies.
Advisers rank low on list of resources pre-retirees turn to for help.
