Shareholder engagement, the energy transition and regulation will get a lot of attention.
While a new DOL rule OKs considering ESG factors in selecting investments for 401(k)s, it may take more than that to get large employers to change their offerings.
In this year's report, the regulator also created a separate section under the heading of 'financial crimes,' which includes cybersecurity, anti-money laundering and manipulative trading.
Financial advisors express mixed views of the momentum of value versus growth stocks heading into the new year.
The Fidelity Private Credit Fund will be available to individual investors and distributed through financial advisors.
Hypatia Women CEO ETF leverages the logic that female executives represent a rare level of excellence when it comes to leadership and management skills.
The product, which would invest in companies seen as leaders in addressing climate change in their businesses, would be the 14th Xtrackers ETF with an ESG theme.
There are plenty of private equity managers left who could still invest in large branch offices of independent broker-dealers.
Market watchers take the long view in forecasting the year ahead because the immediate future looks dicey.
Fintechs may find themselves mimicking some of the same strategies advisors use to demonstrate the value they bring to clients during difficult markets.
Last month's decision to exit the Net Zero Asset Managers Initiative puts Vanguard in a spotlight it was likely trying to avoid.
North Carolina-based Earth Equity Advisors is a certified B Corporation and specializes in fossil-fuel-free portfolios.
The push to interest retirement savers in crypto was part of an effort by FTX Group to expand its base of everyday retail customers.
Target-date funds that are sustainable or responsible are fair game now for retirement plans, but there aren't many of them.
The SEC also has custody and ETF regulations to tackle, while the Department of Labor continues work on the next iteration of an investment advice rule for retirement accounts.
Chicago firms Kovitz and Origin will combine real estate investment expertise, creating greater access across the Focus network.
The same Fed policy that hurt fixed income last year is likely to make it the ballast for portfolios for the year ahead.
The firm is required to pay a $50 million fine and spend $50 million to improve compliance over two years.
State legislation requires state entities to divest from firms on the list, with certain exceptions.
The regulator's penalties averaged $247,000 per firm, according to an InvestmentNews tally.
