Law and regulation

New rules would bog down independent advisors in 'busywork' without producing enforcement gains, Brian Hamburger argues.

Carla Harris's message to women hoping to rise up in their fields: be true to who you are. Another: "If you consider yourself a leader in the 21st century you must be comfortable taking risk."

Mary Erodes has helped J.P. Morgan - with $230 billion in fund assets, excluding money market funds - to stand out in its ability to bring in assets, particularly to equity funds at times when other firms saw outflows.

Helping other professional women learn how to network and connect is a personal mission of Marie E. Dzanis, the senior vice president, head of funds and intermediary distribution at Northern Trust Asset Management.

The U.S. Supreme Court issued a decision that could have far-reaching implications for how long a retirement plan participant has to sue an employer for breach of fiduciary duty in a 401(k) plan.

This list identifies 15 women influencing the broader fund provider industry and making a substantial impact on their organizations. All stand out for their unique leadership positions and for their propensity to help others rise in the field.

Public hearings begin on Aug. 10 and comments may stretch beyond four months.

Whether they like it or not, RIAs must pay careful attention to their firms' compliance practices. Here are 23 important guidelines to follow.

Federal and state examiners still see compliance failures when advisors take to social media to promote their practice.

Virginie Maisonneuve, chief investment officer for global equities at Pimco, will be leaving after helping shutter three active stock strategies at the firm.

Virginie Maisonneuve, chief investment officer for global equities at Pacific Investment Management, will be leaving after helping shutter three active stock strategies at the firm.

Values-based investing has gained traction in the fund industry. One fund provider brings a faith-based layer to that approach, and has found market and peer success doing so.

Some of our favorite recent tax fraud cases.

The National Adjudicatory Council, which provides guidance to FINRA adjudicators, goes after fraudulent conduct with heightened sanctions.

Authorities allege that two self-proclaimed "licensed retirement strategists" made false claims in order to resell $4.3 million in life insurance policies to clients.

The firm said pretax profits for its global advisory business rose 24% from the year ago period.

Vanguard, BlackRock executives argue that regulators considering bank-like oversight of mutual funds are misreading the industry and inviting unintended consequences.

Vanguard, BlackRock executives argue that regulators considering bank-like oversight of mutual funds are misreading the industry and inviting unintended consequences.

Bryan Carnahan, a former advisor at Huntington Bank, allegedly stole nearly $170,000 from a customer's brokerage account to cover investment losses in other customers' accounts.

Vanguard's quiet ascension, adds Jeff Tjornehoj, head of Americas research for Lipper, is not all due to Pimco's management woes.