Just over 660 people have had their information compromised due to a data breach on the legacy computer system of registered investment advisor Tufton Capital Management, a firm acquired by Mercer ...

Dealmaking volume in the wealth management space jumped in the third quarter and is likely to continue at its current level or rise next year, according to a new report from PwC.

Financial advisors serving clients who have $20 million or more in investable assets tend to offer a broader set of more complex services, such as private banking, than other advisors, according to a ...

Kingswood Capital Partners is the latest firm to get sanctioned in connection to sales of illiquid alternative assets known as "L bonds" issued by GWG Holdings.

Investment advisors continue running into issues complying with aspects of the recently amended marketing rule having to do with testimonials, endorsements and ratings, according to the Securities and ...

The firm has partnered with U.S. Bank and is also in the process of establishing its own bank. Edward Jones ' efforts to expand its banking capabilities will help its advisors deepen relationships ...

Republican members of the Securities and Exchange Commission have indicated that they're wary of overstepping privacy rights when it comes to data collection in the age of blockchain technologies, ...

Unlike upstart rival Robinhood and many other brokerages, Charles Schwab is staying away from anything as risky as prediction markets and complex leveraged trades on cryptocurrency, Schwab Chief ...

ChatGPT and other artificial-intelligence-backed chatbots are limited in how they can help retirement planners, but using them correctly can "minimize retirement fees," according to Investopedia.

When the Securities and Exchange Commission amended its Regulation S-P last year to require prompt disclosure of potential privacy breaches, it said the compliance period would begin Dec. 3 of this ...

The Financial Industry Regulatory Authority is asking market participants for their opinion of the pros and cons of social media's increasing influence on both investors and financial services ...

As the end of the year approaches, advisors have little time remaining to make changes that will maximize clients' tax efficiency through strategies such as charitable giving and tax-loss harvesting.