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.