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.

These turbulent times of regulatory upheaval have raised the existential question of how to adapt and protect profitability.

Even though MiFID II doesn't go into effect until Jan. 3, executives have complained they still lack clarity about its rules.

Sept. 11: Managers have been told to prepare for spending more on research and trading services they get from banks.

Some firms are hiring more analysts and salesmen in hopes for a windfall from the rules.

The new European Union rules were discussed on 50 earnings calls since BlackRock reported results on July 17, up from 17 mentions in May and June.

The case marks the firm’s second in a month, but its special investigations unit helped crack it.

Practitioners say the rules conceal problems that regulators never fully considered.

An advisor questions a witness’s qualifications.

Software from Liquidnet is designed to avoid curbs on dark pools in Europe.

Risk alert: The agency expects advisors to follow these steps.