Investments

The cases allege unsuitable recommendations of LPs issued by affiliates of GPB Capital, which faces multiple investigations.

Despite recent rebranding efforts, the EventShares fund hasn’t seen an inflow since May.

Independent investment platforms are projected to lose market share to larger entrants, according to industry data.

In a little-noticed rule change, mutual funds no longer disclose their shrinking BD commission load-sharing payments.

“Not every muni is trying to achieve the same thing,” an expert says.

The decommissioning of redundant measures outweighed the creation of new benchmarks, according to a new report from the Index Industry Association.

Geopolitical friction and a slowdown in global economic growth have boosted the metal’s demand despite signs of recent wavering.

Clients should consider paying more deductible expenses before year-end if their total itemizable deductions will be close to their standard deduction amount.

Inspired by the founder’s unique vision, this journalist leaped to the business side.

The change, the regulator says, will facilitate greater competition and innovation in the ETF marketplace, leading to more choice for investors.

The low-cost brokerage followed its competitors for retail clients and will offer the new pricing to RIAs in November.

“The combination of low rates, curbs on state and local tax deductions, and consistent economic expansion have been a nice tailwind,” an analyst says.

The market information giant provides financial data and infrastructure to more than 40,000 institutions in over 190 countries.

Even though it now claims six million accounts, the free trading platform may still need to expand its offerings to stay competitive, experts say.

Fee compression and commoditization of investment products over the past decade are threatening already slim margins in asset management.

Since this March, almost 100 firms have settled with the regulator for approximately $173 million. Other cases are still pending.

Among the honors this year by NICSA are awards for operational excellence, and advances in product development and technology.

More than 70% of U.S. ETF assets are in funds that charge 2 basis points or less, data show. But free isn’t an automatic ticket to success.

An online war is underway for deposits, as a wide range of players — traditional wealth managers, big banks, digital-only platforms and fintechs — offer high-interest savings and checking through apps and websites.