Financial regulations

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.

The regulation encourages more transparency around fees for products that weren’t previously required to reveal such information.

In addition to redesigning its business lines, the $48 billion firm is considering a robo, the president of its broker-dealer said.

Expected new chief for financial products is fueling speculation for more innovative funds.

Aug. 7: The firm aims to mix innovation with old fashioned salesmanship, and is even considering a robo, according to the president of its broker-dealer.

Class-action lawsuits inspired by the DoL regulation “may go away,” says a prominent ERISA attorney.

John helped found the coalition between the board, NAPFA and the FPA.

Many firms are finding new ways to incorporate computer models and data science into their research.

When and how are former employers allowed to file? Attorney and compliance expert Alan J. Foxman explains.

July 24: The world’s largest independent broker-dealer has launched a new mutual fund platform to adhere to the rule.