"Helping foreign countries improve their criminal justice systems so they can cooperate more effectively with us and with their neighbors in real time is an important aspect of this department’s mission."

William J. Ferry, a former stock broker and investment advisor, and Dennis J. Clinton, a former real estate investment manager, were found guilty by a federal jury in Santa Ana, Calif., today for their roles in a conspiracy to defraud a wealthy investor of $1 billion in a high-yield investment fraud scheme.

Three former investment advisers were sentenced on Nov. 19, 2013 for their roles in attempting to defraud a wealthy investor of $1 billion through a high-yield investment fraud scheme.

Joshua Vandyk, a U.S. citizen, and Eric St-Cyr and Patrick Poulin, Canadian citizens, have each pleaded guilty to conspiring to launder monetary instruments, the Justice Department and Internal Revenue Service (IRS) announced today

Mistakes happen. CNBC asked advisors from firms that made the FA 100 list what the worst money misstep they've ever seen a client or other investor make was.

There may be no free lunch in the financial services industry, but there is now free trading of stocks, exchange-traded funds and options as custodians eliminate commissions for retail and financial advisor clients.

Financial advisors are turning to a variety of options to help clients prepare for the potential cost of help with daily activities like eating and dressing — otherwise known as long-term care.

Today's advisory firms face numerous cybersecurity risks, from phishing to ransomware to email viruses, to name a few. And the one way that firms can tell if they're ready to face these risks, as well as regulators' requirements, is to put them to the test.

The custody arena for registered investment advisors is about to get a lot smaller if Charles Schwab acquires TD Ameritrade. Here's what that might mean for services for financial advisors and their clients.

Insurance is an essential part of a comprehensive financial plan, but fee-only advisors have blanched at using commission-based products to solve a problem. Here's how to curtail those conflicts of interest.

Investors aren't the only ones watching Charles Schwab's acquisition of TD Ameritrade. Registered investment advisors also want to know what this smaller field of custodians means for their firms and the clients they serve.

Turning 65 is a big milestone in retirement due to Medicare eligibility. But if clients don't get their enrollment decision right, they could face costly penalties or higher medical expenses. Here's what advisors need to keep in mind — and what they need to think about if they want to loop in third-party expertise.

Just because you're approaching retirement doesn't mean you have to shy away from stocks. Financial advisors discuss why it may make sense for investors to step up their equity allocation — particularly if they can count on pension income.

With the average couple shelling out an estimated $285,000 for medical expenses after age 65, some advisors are looking closely at how their clients should best spend their health-care dollars.

As 40% of advisors plan to retire within the next 10 years, young financial advisors can help fill the gap. Here's how established advisory practices are integrating younger generations into their teams.

Financial advisors who made CNBC's FA 100 list of leading firms for 2019 share what their outlook is on factors influencing markets and investors in the new year, from domestic politics to global trade and corporate earnings.

While certain investors might share some commonalities, they also bring a variety of circumstances and financial individuality to the table that some advisors sort through before handing over investment advice.

Developing a niche, like working with millennial clients or widows, will become more imperative if financial advisors are to compete successfully.

The CFP Board, which oversees standards for 86,000 certified financial planners in the U.S., removed the ability for consumers to search for an advisor based on how they're paid.

The best financial advisors will choose to stay connected with their clients throughout the coronavirus crisis and be creative in evolving their services on a human level. Keep adding to your market volatility playbook — this isn't the first time we've encountered turbulence in the markets, and it won't be the last.

Eighty-one percent of financial advisors say markets haven't hit bottom yet amid the coronavirus pandemic, according to a survey by Ned Davis Research. Two members of CNBC's Financial Advisor Council say whatever the future holds, they're telling clients to stay the course.

There are some key things that retirement savers should steer clear of doing with their 401(k), despite uncertainty over exactly when the stock market will recoup its losses and head higher.

As markets careeen amid coronavirus-fueled economic volatility, financial advisors are at the eye of the storm. We asked five members of the CNBC Financial Advisor Council what they're telling clients, whether they're helping them reallocate and how the downturn is impacting their own fortunes.

While financial advisors must continue being proactive in helping clients maintain financial well-being during the coronavirus pandemic and downturn, the most effective advisors are managing their clients' emotional well-being, as well.

Three financial advisors share how they have helped clients apply for emergency funding through the Paycheck Protection Program, and sought aid for their practices.

David Katz, Matrix Asset Advisors CIO and Ron Insana, Schroders NA senior advisor, join 'Power Lunch' to discuss the state of the markets amid the coronavirus pandemic and the stocks they're watching.

Today, the OECD has issued new model disclosure rules that require lawyers, accountants, financial advisors, banks and other service providers to inform tax authorities of any schemes they put in place for their clients to avoid reporting under the OECD/G20 Common Reporting Standard (CRS) or prevent the identification of the beneficial owners of entities or trusts.

Talk to these three people -- who are more likely to tell you 'no' -- before handing over your hard-earned cash for a franchise business.

As the COVID-19 crisis melts down Financial Markets across the world, it’s as good a time as ever for Advisors to reflect on the key lessons that they can glean from this experience. Here are a few.

Join the tax lawyers of Dentons Canada LLP for an instructive overview and update of the tax rules in respect of foreign affiliates. Cross border holdings and debt require special consideration in tax filing, and Canada’s foreign affiliate tax regime has undergone some significant changes in the past couple of years. This webinar will examine the basics of Canada’s foreign affiliate taxation regime - as it applies to small and medium enterprises (SMEs) – who already carry an international presence, or are considering expansion abroad.

Available Sessions for this Seminar:

January 21, 2015 12:00 PM - 2:00 PM EST

Most debt mutual fund categories have witnessed outflows in the last month, data shows.

Join the tax lawyers of Dentons Canada LLP for an instructive overview and update of the tax rules in respect of foreign affiliates. Cross border holdings and debt require special consideration in tax filing, and Canada’s foreign affiliate tax regime has undergone some significant changes in the past couple of years. This webinar will examine the basics of Canada’s foreign affiliate taxation regime - as it applies to small and medium enterprises (SMEs) – who already carry an international presence, or are considering expansion abroad.

Available Sessions for this Seminar:

January 21, 2015 12:00 PM - 2:00 PM EST

Join the tax lawyers of Dentons Canada LLP for an instructive overview and update of the tax rules in respect of foreign affiliates. Cross border holdings and debt require special consideration in tax filing, and Canada’s foreign affiliate tax regime has undergone some significant changes in the past couple of years. This webinar will examine the basics of Canada’s foreign affiliate taxation regime - as it applies to small and medium enterprises (SMEs) – who already carry an international presence, or are considering expansion abroad.

Available Sessions for this Seminar:

ipwebinar.aspx?tab=1&smid=1707, January 21, 2015

Published: November 2003

Considering going public? Concerned about the risks? Want to know more about the advantages?

The decision to go public is not an easy one. It can be a time-consuming and expensive process and the company becomes subject to a host of ongoing requirements. However, management at most companies who've gone public would say that it was worth the effort and expense.

Getting and Staying Listed: A Primer for Public Company Executives and their Professional Advisors discusses the pros and cons of going public, along with a description of the process. Throughout, extensive footnotes help you locate the rules easily. The chapter breakdown allows you to find the relevant material quickly. Its scope is national, with all applicable securities legislation and rules of the three Canadian marketplaces covered: the Toronto Stock Exchange, the TSX Venture Exchange, and the Canadian Trading and Quotation System.

About the Author
Timothy S. Baikie LL.B., B.C.L., LL.M., is head counsel to the Canadian Trading and Quotation System Inc. (CNQ) and has played an instrumental role in shaping its rules and policies.

If you would like more details about this product, or would like to order a copy online, please click here.