Compliance

Whitley Hood declined to provide on the record testimony regarding allegations that she misappropriated funds from an affiliated bank.

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.

FINRA fines Lincoln Financial Securities for foreign hack attack.

President-elect Donald Trump's victory has spurred a steepening of the yield curve fueled by rising term and inflation premiums.

Fund managers say they are putting cash to work this month at the fastest pace since August 2009.

Donald Trump's election has caused the biggest dispersion among U.S. equities in almost eight years.

Competition is rising from passive funds as managers find it harder to justify charges 50% higher than their developed-world peers.

"There are certain business models that will be significantly disrupted," Orion Advisor Service CEO Eric Clarke said in anticipation of a new Donald Trump administration.

The global bond rout intensified on speculation that the Fed will raise rates as Donald Trump tries to increase spending.

Investors withdrew $1.72 billion from U.S. ETFs that buy emerging-market stocks and debt in the wake of Donald Trump's U.S. presidential election victory.

Tim Sloan acknowledged that there may have been instances in which employee complaints related to the bank's cross-selling practices may have been mishandled.