SEC regulations

Dec. 11: Asset management experts say these topics will be key drivers in 2018.

Some fund managers specializing in distressed debt smell an opportunity.

Most of the barriers protecting wealth management from tech competitors have been chipped away, executives say.

Chairman Jay Clayton and top SEC brass are putting advisors on notice. The regulator is drilling down on investor protections, while warning firms on cybersecurity and AML compliance.

"Data analytics is critical," says FINRA's chief risk officer.

Smaller and midsized firms typically have fewer resources, limiting the time available to complete annual examinations of their policies and procedures.

“People need to know what the rules are,” an industry consultant says.

With the compliance deadline nearing, regulators have yet to make key decisions on dark pools, rules clashes with foreign markets and data collection.

Institutions are regularly compiling large amounts of data in their quest for enhanced disclosure, an expert writes.

Oct. 30: After experiencing two major bear markets, younger generations are demanding products that are easy to understand and offer transparency.

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.

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.

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

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

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

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

Operational challenges and strategic initiatives are at a crossroads.