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All firms involved have agreed to settle the allegations that they missed regulatory deadlines for the customer relationship summaries.

The agency clears up timing questions in a FAQs document and says it realizes the concerns about timing if its final rule differs from its previously published interim...

The suit says the solution directed participant contributions into high-cost investments.

Despite winning regulatory approval of the combination from the European Commission, Aon and Willis Towers Watson have reached an impasse with the U.S. Department of Justice, says Aon CEO Greg...

Dakota Wealth Management acquires Persimmon Capital Management; Evercore Wealth Management selects new wealth and fiduciary adviser; ISIAH International partners with Hub International and Forest Capital Management; and more.

Democratic lawmakers in the House and Senate say the bill is needed to help address longstanding retirement insecurity issues—and to address some of the negative impacts of the...

Congressional leaders and asset management executives say they are committing to furthering legislation to expand coverage and boost savings

CUNA Mutual Group issues new annuity with Members Life; Lincoln Financial Group Partners with YourPath; and Allianz Life launches income and annuity solution.

The appeals court has technically affirmed, vacated and reversed parts of a district court ruling that granted summary judgement against the plaintiffs; while this sounds like a mixed...

The firm is accused of failing to take sufficient steps to monitor customer accounts for further payments to a former adviser—himself accused of substantial wrongdoing—whose registration last lapsed...

The standards it’s developing provide ‘more explicit guidance’ to decrease cyber fraud.

The lawsuit suggests that MetLife had an imprudent and disloyal preference for its index fund products, in part because of fees and tax deductions it received.

The CEO of the nation’s No. 2 recordkeeper says Empower’s focus will continue to be on a best-in-class user experience.

It can cull data for advisers, banks, credit unions, insurance firms and other institutions to give an overview of a person’s defined contribution plan holdings.

Empower will acquire Prudential’s DC, DB, non-qualified and rollover IRA business, in addition to its stable value and separate account investment products and platforms.

Investment experts said changes in supply and labor, rising wages and housing prices are key trends to keep watching, along with ESG investing and cryptocurrency.