Financial regulations

The regulation encourages more transparency around fees for products that weren’t previously required to reveal such information.

In addition to redesigning its business lines, the $48 billion firm is considering a robo, the president of its broker-dealer said.

Expected new chief for financial products is fueling speculation for more innovative funds.

Aug. 7: The firm aims to mix innovation with old fashioned salesmanship, and is even considering a robo, according to the president of its broker-dealer.

Class-action lawsuits inspired by the DoL regulation “may go away,” says a prominent ERISA attorney.

John helped found the coalition between the board, NAPFA and the FPA.

Many firms are finding new ways to incorporate computer models and data science into their research.

When and how are former employers allowed to file? Attorney and compliance expert Alan J. Foxman explains.

July 24: The world’s largest independent broker-dealer has launched a new mutual fund platform to adhere to the rule.

A bill repealing rule moves on to House floor, while appropriators seek to block funding for the measure.

Large, active hedge funds shorted Comex futures because of the risk of higher U.S. interest rates, driving down prices of the metal, an analyst says.

Operational challenges and strategic initiatives are at a crossroads.

Some advisers are actually embracing changes by making the rules work for them.

Prices that reached an almost seven-month high in June have now dropped for five straight weeks, the longest slump this year.

OCIE plans to conduct 1,850 probes of RIAs, a 28% jump over its 2016 total, while sharply cutting those aimed at broker-dealers.

Low costs and an overall shift toward passive are only part of the reasons why they are leaving such an impact, according to four experts’ testimonies.

Corporations, banking trade groups and consumer advocates are looking for favorable legislation from Congress.

One key factor is the adviser’s tone during the exam – is it conciliatory or defiant? And remember, the examination and enforcement divisions know each other.

RIAs using digital platforms will face scrutiny about disclosure and client communications.

Leading RIA custodian is warning that BIC disclosures, legal liability in second wave of DoL rule could be devastating for small advisers.