Regulator reportedly questions whether fund company artificially boosted returns in its big fixed-income ETF by relying on lofty valuations; smaller firms could be at risk.
Less transparency for new products seems in conflict with the SEC's interest in increased disclosure of mutual fund holdings.
<i>Breakfast with Benjamin:</i> The Fed now says consumers are saving too much. Plus: SEC reforms add risk to money market funds; considering a worst-case-scenario for economic growth; what Eric Cantor brings to Wall Street; and another case for long-short equity investing.
Rest, and some laziness, is imperative to being really effective with your time.
Participants could hold plans accountable for excessive fees, depending on how the court rules on a key case next year.
Two hr experts share their hiring secrets. Hint: It's not about using an algorithm.
What extra productivity are you winning? The dangers of digital device addiction.
ICYMI, the younger generation has the tech talents you need to make your firm last
A three-part transition from technology providers to integrated platform providers is occurring.
NASAA forms committee to tackle elder financial abuse and growing complexity of financial products.
Cybersecurity is the hottest topic in compliance, according to a survey of compliance professionals. Other areas of interest include social media, valuation and allocation of fees and expenses
Female leaders discuss how strong professional and personal connections have helped them get ahead.
Agency's Investor Advisory Committee thinks current standard of income, wealth oversimplifies who should qualify to buy private offerings.
<i>Breakfast with Benjamin</i>: A real risk thanks to the bull market: investors' sense of invincibility, plus El-Erian dishes on Pimco, second-guessing Calpers, and more.
Selecting the right technology means identifying efficiency creators and picking the necessary over the unnecessary.
Advisers and others in investment industry disagree about how or whether the accredited investor standard should be changed
Judy Wolf, formerly with Wells Fargo, allegedly attempted to make it appear she adequately reviewed a broker later charged with insider trading. <b><i>Plus, see <a href="http://www.investmentnews.com/gallery/20140507/FREE/507009999/PH/5-big-compliance-lessons-from-recent-sec-cases" target="_blank">5 compliance lessons from recent SEC cases</a></b></i>
Firm settles charges that compliance oversight was weak after 2008 acquisition of advisory unit.
Advisers increasingly find themselves playing domestic diplomat in an effort to keep financial plans on course.
Five advisers win Community Leadership Awards at eighth annual industry gathering Thursday night.
