Regulation

A trio of top custodial executives discussing big trends for the RIA sector downplayed the term -- at least as a marketing advantage -- during a panel this week at the MarketCounsel summit in Las Vegas.

Wealth managers called into active duty have a delicate balancing act between serving firm and country.

Fund managers need to focus on more than the strategies they intend to execute. They must also structure their funds and organizations in ways that address both increasing regulation and investors' concerns about the safekeeping of assets.

The three founders of Concord Equity Group Advisors, a firm LPL bought in 2011 after the RIA allegedly hid commissions from its institutional clients, settled with the SEC.

Concerns about an over-proliferation of ETFs, curiosity regarding how market demand will shape product innovation and questions about the direction of regulation are expected to punctuate discussions among those attending the 19th annual IMN global Indexing and ETF Conference in Scottsdale, Ariz., that begins on Dec. 7.

An ex-Ameriprise franchise advisor was fined and suspended by FINRA for allegedly copying and pasting client signatures onto documents.

Supplying Chinese equity demand is not a simple process of deciding to launch an ETF product, providers say. There are a number of operational challenges that a firm must navigate to make the offering available, including managing a complex system of global exchange that involves precise timings and potential risks for clients.

Members of the Financial Planning Coalition fire back at lawmakers' call for the SEC to shuffle existing resources and tap a third party to increase examinations of advisors.

FINRA's CARDS proposal and the DoL's proposed fiduciary standard are cited as potential threats to the industry and investors.

Legal experts explain what made an advisor's arbitration victory against Morgan Stanley an unusual victory.