Law and regulation

A victory for the government would be a boost for prosecutors and the SEC.

Strategies and products from active and passive managers continue to complement each other in portfolios.

A young alternative ETF producer right now has two growth opportunities, says Reality Shares' CEO Eric Ervin.

From recommending wrong share classes to cherry-picking allocations, these are the pitfalls advisers should avoid.

Takahiro Kusakari's life changed in 2007 when the then 28-year-old stumbled into a seminar by the founder of Japan's biggest independent mutual fund.

The region is home to more than 35% of all ETFs in the world, and yet it only holds about 20% of the money invested.

The industry organization also recognized the innovative work of money management firms at the 14th annual NICSA/NOVA awards last week in Boston.

The nonprofit organization plans to host more discussions on gender diversity and other forms of office discrimination in the future.

The bank and the RIA are feuding over alleged violations of a non-compete agreement and accusations of unfair competition.

PureFunds CEO Andrew Chanin discusses what differentiates his firm's novel offerings from the rest of the industry.

Focusing on profitability and management of expenses helps alternative asset managers proactively manage and support their infrastructure more effectively.

The S&P 500 Index's 2.5% selloff left 52% of its members at a 20-day low.

Even in the meltdown, investors continued to show aversion to the defensive industries that led the market in the first half, with utilities, phone companies and REITs bearing the worst of the losses.

Regulators should step up their inspections of digital advisers as these tools surge in popularity, the firm said.

A settlement with Bank of America covers 270 employees who were terminated following the wealth management firm's 2008 acquisition.

Banks and investment funds are hiring quants — people with training in physics or higher mathematics — as market intervention by central banks make it difficult to post robust profits.

The regional brokerage is the latest to incur a penalty for failing to waive fees on Class A shares sold to eligible institutional clients.

The funds will track indexes that draw on the expertise of the firm's quantitative-research team.

Decision expected in appeal of case brought by advisers the board says called themselves fee-only inappropriately.

Leveraged strategies may include selling volatility or dabbling in derivatives tied to interest rates or corporate credit.