Law and regulation

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.

Marco Barrozo has raised more than $125 million for the fixed-income offering, which has begun trading and is raising more capital.

At the heart of the issue is a phenomenon where a once-reliable strategy is destroyed when enough traders discover its potency.

The firm boasts a unique strategy amid an ongoing exodus from junk bonds, which saw $5.68 billion in fund assets desert the securities last week.

As executives accept Trump's fiduciary rule delay, many have shifted their focus to compliance with the SEC's new reporting modernization regulation.

With the cheapest stocks in major Asian markets, traders whipping around prices, and fewer institutional investors; the golden era is back, a manager says.

He held on, even as redemptions at the Pershing Square Capital Management fund mounted into the hundreds of millions.

The five-time San Antonio Spurs champion is willing to testify against his former longtime planner, according to the team's lawyer.

The real estate developer's family philanthropy is scoring the same kind of robust returns his hedge fund once did.

The trouble for Pimco is that asset gathering matters more in ETFs than performance. And investors continue to go the cheaper route.

Even in the present deregulatory climate, the Treasury Department is pressing ahead with a rule to require advisors to screen for and report suspicious activity.