Regulation

We have listened to numerous warnings about cyber threats and data breaches. We've been urged to secure networks and prepare response plans in anticipation of an attack, but as we've seen countless times in the news, some businesses have learned the hard way.

Advisors must determine what kind of help they need at the outset.

Advisors who are thinking of starting their own firms need to understand that compliance is as essential to their business as any other aspect.

The lobby group's proposal calls for more disclosure, but does not mandate all material facts be revealed, or that the client truly grasp the pertinent issues, writes Ron Rhoades.

Crafting messaging goals for fund providers in an era of strict regulation can be stressful. But communications firm Blu Giant says there are ways to develop strategies, even for social media, that can keep a provider from drowning in too much information or sinking under regulatory fines.

Burdensome regulation costs and the prospect of potentially even more scrutiny continues to frustrate asset managers, but new management strategies and the continued growth of ETFs have proven to be bright spots for the industry.

The world's biggest investment managers, from BlackRock to Vanguard, have a simple message for Mark Carney, head of the Financial Stability Board: Stop trying to regulate us like banks.

Cloud-enabled content management solutions centralize collateral creation. Here's an explanation of why it can help your firm reduce technology costs.

Industry leaders believe the plan isn't ready.

SEC sends contradictory message, critics say, urging the public's vigilance yet displaying leniency to a deceitful advisor.