DoL

Industry leaders see an opportunity to reshape debates that determine wealth management's future.

Wells may have settled with former employee Claudia Ponce de Leon because it wanted to avoid the "massive exposure" of a jury trial, an expert says. It is unclear how the agreement will affect Wells’ other cases.

Some of the biggest changes come when industries collide.

Advisors at Fidelity, Schwab and other large discount brokerage firms make more money if they steer clients toward more expensive products.

The proliferation of smart beta and increased AUM are among the forecasts by industry experts.

The industry group is seeking restrictions on how brokers can describe their services and responsibilities.

The online tool, created by the advocacy organization and state regulators, suggests tough questions for the hiring process.

Special interest groups may weaken the Department of Labor’s best interest standard. Here’s why that’s bad for financial planners and their clients, according to one expert.

Products that best fit clients would have to be offered before those that are most profitable to the sellers, the New York Department of Financial Services said.

Kestra Financial’s James Poer offers advisors his three predictions for the new year.

"Maybe commissions aren’t so evil after all?"

In the wake of the DoL fiduciary rule, documenting client profiles and recommendations boosts compliance.

Survey shows advisors accept fiduciary mindset but do not see major impact on product choices yet.

Financial advisors can still be held liable for violating impartial conduct standards even though the fiduciary rule has been delayed until 2019.

Variable products suffered their worst quarter in two decades, while fixed contracts also declined.

The regulation's enforcement provisions will not take effect until July 1, 2019, the Labor Department said.

Secretary Alexander Acosta told lawmakers that the department will pursue actions against advisors and firms for egregious best-interest advice violations.

A group of attorneys raises concerns about extensive industry ties among FINRA’s public board members.

Harmonizing a potential SEC regulation with that of the Labor Department is tricky business, experts say.

Clients using FundKeeper can open new accounts, perform automated suitability checks and support level load funds under a single platform.