Compliance

The fiduciary rule was an unintended gift for those who focus on income distribution planning.

The fiduciary rule was an unintended gift for those who focus on income distribution planning.

The ongoing trend to passive or smart beta products will continue, according to Maxwell Gold, the director of investment strategy at ETF Securities.

The catalyst is Trump, whose election, according to Macquarie Group analyst David Konrad, will usher in a "new world order" for the industry.

The mechanism for creating and turning over shares of ETFs needs more automation, Virtu told the SEC in a letter.

The former broker is accused of making false claims about his client list at Stifel to earn a compensation advance from another firm.

Advisors Asset Management CEO Scott Colyer says loosening regulatory reigns may free up spending previously directed toward compliance.

Looking to reach out to more potential clients, adviser Dave Grant tests two new platforms: Snappy Kraken and Twenty Over Ten

Analysts say there may be increased activity in 2017 among "active-oriented traditional managers," spurred by performance issues.

Despite anticipated tailwind, the firm's ETF product management head says investors still have cost control.