Client account reviews provide an opportunity for a business professional to assess the current state of his customer's financial status, changes in goals and any other relevant information. Because ...

Creating a base of loyal clients and customers who come back to purchase goods and services after an initial purchase is essential for small businesses to be successful. Remembering who clients are ...

Will Kenton is an expert on the economy and investing laws and regulations. He previously held senior editorial roles at Investopedia and Kapitall Wire and holds a MA in Economics from The New School ...

I'm looking to buy a small broker-dealer. The seller informed me that the clients have all transferred their accounts out (which is fine with me). However, it's my understanding that I have to retain ...

Using technology to become more efficient is great from a practice-management standpoint. But wouldn’t it be even better if the technology saved tax dollars for your clients also? It seems like the ...

Cybercriminals are perfecting their methods of taking over customer accounts, officials at the Financial Industry Regulatory Authority warned at its annual conference yesterday. Finra has received an ...

CPAs often have clients with an interest in or signature authority over a foreign account. The IRS has emphasized compliance in reporting requirements for U.S. owners of foreign accounts, but many ...

For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, ...

UBS is delaying the migration of some super-rich Credit Suisse clients to its own platforms by several months, sources told ...