Financial regulations

IHT Wealth Management now has $2.4 billion in client assets.

A recent launch from Flat Rock is designed to provide access to middle-market debt in a new way, according to the firm’s CEO, Robert Grunewald.

Regulators want advisors' social media addresses to help them identify audit targets, one expert says.

Managers are asking the SEC to relax constraints it imposed on the funds as they become the fastest growing products for investing in equities.

Chairman Jay Clayton says the regulator is drafting a rule proposal to harmonize standards for brokers and advisors.

Asset managers are still guessing how clean shares will fare under the new regulation.

While the SEC does its due diligence into the new European rules, some of the world’s largest money managers have started to make independent decisions.

The rep purportedly received an email from the impostor requesting that she sell securities to fund the wire request to a third-party in the United Kingdom.

In the wake of cyberattacks at Equifax and EDGAR, SEC Chairman Jay Clayton makes an unusually lengthy statement appealing for RIAs to bolster security.

Nearly 17 million investors will use the technology by 2021, a rise of 1.8 million compared to last year, Aite says.