Regulation

Mutual fund providers sought to use digital platforms as new distribution channels for their funds, but new guidance upends a strategy that would rely only on proprietary products.

The Justice Department and SEC have been cracking down on hedge funds' use of firms that are paid to offer insights on Washington policy that could move stock prices.

The early decision stops advisers from earning commissions on products that will also generate fees through the firm's Investment Advisory Program.

Following Commonwealth Financial Network's decision to cut its commission-based retirement business, some competitors head in the opposite direction.

With the fiduciary rule coming, advisers who have a great offer on the table better act fast, says one headhunter.

A planner tells compliance expert Alan J. Foxman that he's concerned a court-appointed guardian is not acting in an aging client's best interests.

New guidance from the Department of Labor provides conditions under which firms can offer bonuses and other compensation incentives.

The recording casts doubt on the CFP Board's claim that all CFPs are fiduciaries.

In an informal poll, the majority of banks and credit unions have made a definitive decision to no longer accept soft marketing dollars.

Some managers have been quick to respond with new robo platforms and recalibrated offerings for fiduciary advice.