Regulation

Increased captive insurance coverage due to expanded business in 2018 was a primary driver of a three-year high in regulatory spending, the firm says.

The proposed rule will need substantial revisions before it wins the support of the commission's sole Democrat.

Frederick McDonald Jr. is accused of failing to disclose key risk factors regarding the complex world of the cannabis manufacturing industry.

While seeking input on how to better nationally integrate operations, the FPA has scrapped the idea of wrapping all chapters into a single legal entity — for now.

The fund aims to undercut its cheapest competitor by 1 basis point.

The move suggests that the SEC’s proposed Regulation Best Interest isn’t strong enough for some.

The regulator is on high alert as more than 10% of new launches last year targeted a theme.

Key tips for navigating the regulatory landscape.

FINRA, Morningstar and Nasdaq have already migrated to the cloud. Should RIAs follow?

Fund companies could launch a new type of product that does not have to reveal its assets.