Regulation

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.

Asset managers groaning under the weight of regulatory requirements scrambled to learn more about recent SEC proposals that would increase their data collection and reporting requirements about their holdings.

The industry's main lobbying group issued its own fiduciary proposal in an attempt to stave off efforts by the Labor Department to impose a rule separate from the SEC's efforts.

A federal court ordered an investment advisor to pay more than $1 million in fines regarding two fraud cases.

Incomplete BrokerCheck reports give investors a false sense of security, critics say; Some Google searches do better.

Federal Reserve Chair Janet Yellen and other U.S. officials should push global regulators away from designating individual asset managers and investment funds systemically important, ICI said.

There's a cloud over the J.P. Morgan unit where pensions are managed: The SEC is well along in an investigation into conflicts of interest in the bank's wealth-management unit, whose products include individual retirement accounts.

The agency says the ads are designed to inform the investing public of the free tool.