financial advisors

Having a family member take over a practice is an emotional rollercoaster Having a family member take over a practice is an emotional rollercoaster

Your Business

Having a family member take over a practice is an emotional rollercoaster

Advisors say it takes time to determine a successor, draw clear boundaries

By Jonathan Got |April 27, 2026

4 min read

AI means potential ‘big shift’ in regulatory responsibilities: Kriegler AI means potential ‘big shift’ in regulatory responsibilities: Kriegler

Regulation

AI means potential ‘big shift’ in regulatory responsibilities: Kriegler

Greater accountability could fall to firms instead of advisors

By Michelle Schriver |April 22, 2026

2 min read

Client calls surge amid heightened geopolitical tensions Client calls surge amid heightened geopolitical tensions

Industry

Client calls surge amid heightened geopolitical tensions

54% of advisors said they have or will tweak portfolios in response

By Jonathan Got |March 18, 2026

1 min read

CIRO fines National Bank Financial $1M for inadequate supervision of rep CIRO fines National Bank Financial $1M for inadequate supervision of rep

Regulation

CIRO fines National Bank Financial $1M for inadequate supervision of rep

SRO says high risk, high volume trades, insufficient notes should have raised red flags

By Jonathan Got |March 13, 2026

3 min read