Law and regulation

The world's central banks are beginning to plan their course through the uncharted waters of quantitative tightening.

How do smaller firm avoid paying six-digit fines for administrative shortcomings?

Motif’s Hardip Walia discusses attitudes of investors and the inadequacies with contemporary environmental, social and corporate governance investing.

In bond and stock markets, managers had been shorting volatility to generate additional yield, such as by selling out-of-the-money put and call options.

The regulator now has punished just one known person associated with the bank's admitted nationwide fiduciary violation: the RIA who flagged abuses.

Strategists cite inflation under-pricing in the U.S. economy, waning foreign demand and the Fed's bid to tighten its monetary stance faster than expected.

The board also canceled about $47 million of ex-community bank head Carrie Tolstedt’s stock options.

The capital increase — the bank's fourth since 2010 — is the centerpiece in CEO John Cryan's new turnaround plan.

The investment manager has filed an initial registration statement with the SEC for eight funds, sub-advised by two affiliates of Legg Mason.

They're not the only ones questioning the outlook for inflation.

A roundup of planners and brokers who drew regulatory scrutiny for alleged misconduct.

The strategist, who has long criticized the BRIC idea, changed his views as the Fed appears to have capped long-term U.S. yields, even as it raises rates.

Increased longevity will challenge the performance and use of products, said Sri Reddy, head of full service investments at Prudential Retirement.

The firm's executives said it's too early for government officials to take action based on the studies.

CEO Laurence D. Fink’s restructuring efforts will move $6 billion run by traditional stock pickers into cheaper funds where quants play a role.

"People like you ought to be held to a higher standard because you know better," a judge tells former adviser Charles Banks.

Active managers face headwinds despite an overall positive outlook for the U.S. economy that’s taken hold since the election of President Trump.

The famed manager claimed he was ousted by a "cabal" of executives who wanted a larger share of his bonus.

Asking clinical expertise before investing in complex products is a must for Henrik Rhenman, who manages the $500 million fund.

These products haven’t suffered the same fate as other active portfolios because they offer something that isn’t easy to automate.