Financial regulations

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.