Practice

Federal regulators would “like to codify exemptive relief” from provisions of the Investment Company Act of 1940, so they can focus on more innovative fund applications.

Almost half of American workers and 36% of retirees lack confidence that they will have enough money for a comfortable retirement—but few are turning to advisors for help.

PALM DESERT, Calif. -- Norm Champ, director of the Securities and Exchange Commission’s Division of Investment Management, today took the first steps in meeting and speaking to members of the Investment Company Institute.

A managing director of Charles Schwab Investment Management said the money market mutual fund industry has ‘nothing to hide’ about the value of its assets. Floating the stated value of each share of a fund, however, would result in “a lot of imposed inconvenience.’’

Through less promotional posts, advisors may be able to avoid the red tape.

Wealth is shifting to new demographic groups, requiring advisors to re-evaluate their approach to client engagement. Here, we explore the key business factors driving the urgency behind advisors’ need to focus on women.

Two-thirds of active U.S. equity assets are managed by defined contribution investment only managers, says a new joint report from FUSE Research Network and BrightScope.

PALM DESERT, Calif – Is the Financial Stability Oversight Council out to undermine the Securities and Exchange Commission’s “role, independence, and democratic process”?

Let your social media actions adhere to the Golden Rule. Seek out ways to be helpful, says Joanna Belbey, social media and compliance specialist for compliance technology firm Actiance.

The general counsel for the advocacy group that represents the investment fund industry said Monday that financial transaction taxes harm investors, retirement savers, market operations, economic growth and investment returns.