Law and regulation

If enacted as-is, the rules could hurt Wall Street lenders that have been trying to grow their wealth management businesses since the 2008 financial crisis.

As the chief executive of an asset management firm that houses the nation’s third oldest mutual fund, Lisa Jones owns several responsibilities, stretching from operations to business growth.

After nearly 18 years with J.P. Morgan, DeLuca is now responsible for developing the marketing plan for the firm’s retail distribution business in North and South America.

A U.S. proposal could make it harder for Wall Street banks to compete for talent against asset managers.

Prosecutors for two years have been investigating alleged front-running and trading ahead of client orders. The new complaint describes events far more recent.

Leaving her professional home to join Jeffrey Gundlach in the launching of DoubleLine Capital was a career-defining moment for Bonnie Baha, the director and founder of the firm's global developed credit unit.

State Street’s asset management unit said Nick Good and Rory Tobin will take over management of the firm’s global exchange-traded funds business.

Vanguard founder John Bogle and the DoL's Phyllis Borzi support an investor bill of rights.

All of the women selected in this year's Money Management Executive's Top Women in Asset Management Awards are bona fide leaders and innovators, actively seeking solutions to the market, regulatory and operational challenges facing firms.

The finalization of the Department of Labor’s recent fiduciary ruling has left more than one out of three retirement plan service providers uncertain of their professional status, according to a new industry survey.

Robert Crowe, through his lawyers, is arguing the facts of his case should prevent the SEC from bringing charges of securities fraud against him.

FINRA scolded the firms for alleged operational systems, supervisory and recordkeeping deficiencies.

Mutual and hedge fund managers dodged the toughest provisions of newly proposed U.S. pay rules designed to discourage excessive risk-taking on Wall Street.

The wealth management division of Morgan Stanley is developing a program with a focus on goal-based planning instead of budgeting and debt management.

The Fed’s quarter-point rate increase is proving a boon to custody banks.

The advisor was banished for refusing to cooperate with a FINRA investigation into wire activity in the advisor's bank account.

Firms' cyber defenses are in SEC's crosshairs, and the commission is looking to tap an outside group to help police the RIA sector.

Voices: Even independent advisors have some adjustments to make. Here are some of the most important, according to managing director of TD Ameritrade Institutional.

Expanded scope for litigation is a cause for concern among wealth management firms, experts say.

The rule could "very much professionalize an industry that very much needs it," says Robert Johnson, president of the planning school.