Law and regulation

A federal court ordered an investment advisor to pay more than $1 million in fines regarding two fraud cases.

Incomplete BrokerCheck reports give investors a false sense of security, critics say; Some Google searches do better.

Federal Reserve Chair Janet Yellen and other U.S. officials should push global regulators away from designating individual asset managers and investment funds systemically important, ICI said.

There's a cloud over the J.P. Morgan unit where pensions are managed: The SEC is well along in an investigation into conflicts of interest in the bank's wealth-management unit, whose products include individual retirement accounts.

The agency says the ads are designed to inform the investing public of the free tool.

A top lawyer for the industry regulator says it would be happy to help after a congressman calls on the agency to assume advisor exams.

Pimco considered recruiting Gary Cohn, president of Goldman Sachs, as a top executive in 2013, people with knowledge of the matter said.

Kirsten Flynn Hawkins stole roughly $500,000 from a longtime customer over 33 months, starting shortly after he suffered a debilitating stroke in July 2011.

Co-sponsor of legislation to derail Labor Department's fiduciary proposal admits that the bill's greatest goal is to put political pressure on the administration.

The revised proposal would require brokers to disclose to clients the compensation they receive when jumping to a new firm.

Richard Ketchum voices support for SEC to move on a uniform fiduciary standard for brokers and advisors, while warning of unintended consequences from DoL's proposal.

Martha B. Willis and her team have introduced over 17 new products across OppenheimerFunds and integrated the offerings of SteelPath, an energy-focused investment company and recent acquisition.

Amy Schioldager was responsible for BlackRock's first ETF portfolios in 1996. At the time, she recalls being told that ETFs would never be accepted.

To earn success, says Sharmin Mossavar-Rahmani, the chief investment officer of Goldman Sachs' Private Wealth Management Group, do whatever it takes to become the best at what you do.

Women can gain leadership roles in asset management by having a voice, says Kim Mustin, the head of North American distribution at BNY Mellon Investment Management.

Martha King is proud of how far Vanguard's financial advisory division has come since the mutual fund giant launched its first ETF 13 years ago.

Enhanced programs will likely include financial planners. The initiative follows earlier legislation prompted by a Financial Planning investigation.

Michelle Mikos, the ETF business development director at Invesco Powershares, helped co-found Women in ETFs, a group dedicated to supporting women in the asset management industry.

Women must remain curious, have courage and bring confidence to the workplace in order to find and ensure success, says Maureen Leary-Jago, senior global advisor at MFS Investment Management.

As president of Chicago-based Ariel Investments, Mellody Hobson has dedicated herself to acting as an advocate of financial literacy and investor education.