Investments

Regulator comes down hard on compliance failures; additional $6.3 million must be paid back to investors.

How advisers can prepare for renewed interest in alternatives.

Mutual fund providers sought to use digital platforms as new distribution channels for their funds, but new guidance upends a strategy that would rely only on proprietary products.

Digital tools can supplement human advisors with ongoing counsel while the latter can also take over when an investor needs reassurance.

The Justice Department and SEC have been cracking down on hedge funds' use of firms that are paid to offer insights on Washington policy that could move stock prices.

This year through October the fund gained 3.7%, trailing the benchmark Bloomberg Barclays U.S. Aggregate index, which rose 5%.

The early decision stops advisers from earning commissions on products that will also generate fees through the firm's Investment Advisory Program.

An expert discusses last-minute strategies, as well as evergreen tips, to reduce the tax bill your clients are facing.

Those with the option of taking loans from their plans should consider tax implications and the possibility of missing out on the growth of the money that was borrowed.

Institutions that are willing to invest at least $100 million can get the Janus total-return strategy as a separate account, according to a person with knowledge of the matter.

"Barriers to entry for the actual robo part are very low we think. So this may well be exploited," the firm wrote in a recent report.

Adam Nash will be replaced by Andy Rachleff, who once served as chief executive of the firm, and will now be tasked with leading it during a period of fierce competition.

An analysis shows low-income clients get more back from the benefit program than the payroll taxes they paid, while high-earning workers get less.

There are many benefits for clients who invest in property, but identifying them can be quite a process.

Property can be a savvy investment — and offer significant advantages. But advisers have to know where to look.

In the second quarter, that group of seven saw $34 billion in outflows.

Clients age 65 and up have to move fast to load up on medical expenses and get these benefits. Plus, considering MLP ETFs after the recovery of the energy sector and how certain mutual funds can charge a capital gains.

Mirae Asset Global Investments said it is building its cash position in one of its Asia bond funds during the U.S. presidential campaign.

Prices of the metal have dropped by half from a peak in 2011.

Deutsche Bank’s $5.5 billion of AT1 notes have come under pressure this year as fixed-income investors fret about whether the relatively high yields compensate for the risk of losses.