Dan Shaw

Amid high interest rates, publicly traded real estate investment trusts have been pummeled the last two years. Analysts meanwhile think their private cousins are in for further correction.

The broker-dealer self-regulator accused the firm of failing to properly record more than 830,000 transactions, among other violations.

Without inflation adjustments to income and net worth criteria, the number of people who qualify to put their money into sophisticated and risky investments has skyrocketed.

Finance gurus see the coming 12 months as a time to dilute concentrations in cash and large firms' stock and consider emerging markets and small caps.

It's cheers for pro bono advisors and people working to diversify the industry, and jeers for planners who defraud the elderly and big firms that let their regulatory responsibilities slip.

Industry watchdogs weren't concerned only about hot topics like artificial intelligence and cybersecurity but also remote work policies and the ability of brokers to clear their names.

Electronic messaging, Reg BI, crypto and fraud all appeared at the top of regulators' agenda this past year.

As it seeks to bolster its U.S. presence, the Canadian bank's wealth management subsidiary has been one of the most active recruiters in the industry in recent years.

The plaintiff in the class-action suit notes that returns at rival institutions rose when inflation started driving prices up last year. Her rates did not.

Recruiters see the banking giant's offering as central to its bid to retain top teams and prevent them from going independent.