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Regulation & Compliance

News

Handling Challenge of DoL Impact on Products

Neil Menard, group president CNL Capital Markets and president of CNL Securities, said that there is still much industry uncertainty about managing change.

Asset Managers Face Tougher Oversight as FSB Targets Risks

Regulators say ETFs, mutual funds and other investment vehicles should be subject to additional oversight to ensure that managers can sell assets to meet investors’ demands during volatile markets.

ETFs to Be Wounded Not Crushed in a Stampede From Junk Bonds

The Financial Stability Board concludes that an abrupt exit from the junk bond market won't hit ETF investors the hardest.

Inside the Debate on Retirement Plans

Executives from the Alternative and Direct Investment Securities Association discuss challenges the nontraded REIT industry faces in light of the DoL's newly introduced fiduciary rule.

Why an Adviser Stopped Selling Nontraded REITs

The question a Cetera adviser says he never wanted to get from a client: "How come this is $88,000 instead of $100,000?"

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Articles

Driving Front-office Success Through Tech & Ops

While IT budgets at buy-side firms have not fully recovered from the cutbacks of the Great Recession, front-office demands keep growing in quantity, complexity and required speed of response.

BBH's Take On the New Order of Asset Servicing

During the crisis of 2008, service providers faced an environment in which they saw their clients' assets decline sharply.

Client Reporting, Risk Management Top Concerns for Operation Managers

Executives at mutual fund companies, asset management companies and support providers rated client reporting--which included any reporting that is created for the purpose of distribution to clients--as their top challenge followed closely by risk management in Money Management Executive's third annual Operations Survey.

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