The regulator also listed expensive, complicated and illiquid investment recommendations as coming under increased scrutiny in 2024. The Securities and Exchange Commission published its 2024 exam ...

Advisers seeking to keep clients happy might want to give them a test. The Kolbe A Index, for example, describes one's greatest strengths and limitations — and clients can take a 15-minute version of ...

In a separate exam sweep, the SEC found that robo-advisers weren't acting in clients' best interests and were misleading in their advertising. By Mark Schoeff Jr. Investment advisers are charging ...

Arkansas midwives and their clients are complaining about a new protocol used by the state Department of Health for determining whether a woman can safely give birth at home. Since October, the ...

Jim Exley stared down at a new client’s risk score and couldn’t comprehend the number he saw. Earlier in the day, the client had talked about how, in addition to his role at a Fortune 500 company, he ...

When extra time becomes the norm, fairness gets complicated. Examining the unintended consequences of accommodation culture.