Managers are lacking in everything from entitlements, to data control, to network defense and lastly, people do not understand their risk.

Regulators have placed greater emphasis on ensuring firms better understand and manage their own liquidity risk.

The bond market, which has seen a bit of a rally in the 10-year space due to demands associated with a flight to quality, will inevitably continue to see downward pressure

Rather than just one area of focus, funds and their boards are facing an increasingly active SEC in a number of significant areas.

The lawsuit stems from the conflicting demands placed on advisors who are expected to cross-sell banking products.

Regulator’s surveillance director says watchdog would review broker-dealers who implement automated advice, to determine if they properly assessed client risk tolerance.

When thinking about liquidity, the SEC wants fund companies to do more to ensure that investors can get their money out. In addition, mutual fund companies could be forced to implement swing pricing.

To protect themselves from the industry self-regulator's scrutiny of these products, firms should take these actions.

It’s challenging to afford tech upgrades and meet compliance demands at the same time. Here’s how firms are doing the best of both.

Even as independent advisors rush to comply with new laws, they are also being urged to implement innovative digital tools. Here’s how successful firms are managing to do both—cost effectively.

Joel Bruckenstein puts two applications – RIAglass and MyRIACompliance – through their paces. Can they help advisors comply with regulations?

Pricing will be a particular thorn in the side of asset managers, and fund boards will face an active SEC, a panel of industry experts gathered by Money Management Executive suggest.

FINRA won’t release details of an interview with a client who filed a complaint against an advisor who claimed the concerns were vague, according to attorney Alan Foxman.

An imaginary look at how one very prosperous firm might approach a new set of standards.

Earlier this year BlackRock, the largest asset manager in the world, announced that it would follow Fidelity and Federated in making changes to its money market fund offerings.

Third Avenue Management was sued by an investor who said the firm failed to maintain adequate liquidity despite signs the fixed- income market was increasingly volatile.

The Obama administration wants to ensure its plans can withstand congressional opposition before the president leaves office, experts say.

CEO John Taft warns that regulatory scrutiny will increase, but adds that the long-term goal a unified fiduciary standard of care will still benefit clients and advisors.

After being burned by a now-barred advisor's $2 million Ponzi scheme, an ex-client is seeking redress from the advisor's former employer.

The litigator and Washington lobbyist, who will oversee strategic direction and diversity initiatives, does not hold a CFP.