Industry

Luis Aguilar, former commissioner at the Securities and Exchange Commission, expects the agency to move on a fiduciary standard, especially if the DOL rule stays in place.

With a diversity committee and new anti-harassment code of conduct, the XY Planning Network wants to change the culture of industry events.

Only a fraction of the approximately 4,000 asset managers that operate in Europe have publicly stated what they will do.

RBC Wealth Management U.S. targets women advisors, SS&C is offering an online fiduciary course, and a rare blue diamond hits the auction block.

The brokerage believes the future of the business depends on gender equilibrium with the client base, and will begin benchmarking success (and failure) across regions to achieve it.

Proper formation, funding and formalities of operating are vital for a plan to succeed.

RIAS are allocating client assets differently from those at the wirehouses or independent broker/dealers.

The department said it would not bring claims against advisors or firms who fail to comply with the private-right-of-action portion of the best-interest contract exemption of the fiduciary rule.

Harvey aftermath affecting the securities industry, the newest gold ETF has a low expense ratio, and Market Sensei claims to predict stock performance.