Regulation

A key component to a successful wholesaling and marketing plan to capture AUM includes identifying wire houses, regional platforms, and other RIAs who currently use your existing products and indicate strong interest in owning your ETF.

Face-to-face effort is one reason why BMO Global Asset Management has amassed $249 billion in AUM, with established footprints not only in Asia but even in the oil-rich Middle Eastern Gulf nations.

Lord Abbett applied with the SEC to create an interfund lending facility, the second such move by a large money manager in the past week.

Seniors are increasingly vulnerable to financial abuse. Advisors have a growing role to play in helping stop it.

Amid persistent criticism from industry groups, a Labor Dept. official says the comment process will be pivotal to getting the fiduciary proposal right.

The wirehouses aren't fading yet, but many independents argue that these firms will need to change dramatically to retain market share.

Bill Gross joined the growing ranks of money managers expressing concern that a decline in liquidity could exacerbate losses for fund investors during a market decline.

Troubles never go away when it comes to disclosures made to FINRA. Plus, an advisor did his securities research for a client event, and still got flagged by compliance.

Opponents warn definitions are overly broad and call on advisors and brokers to make their voices heard at the Labor Department.

With regulators proposing more widespread obligations, advisors need to know where to get training.