Regulation

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  1. GAO: Room for improvement in FSOC process

    trueThe Financial Stability Oversight Council process for designating systemically important non-bank financial institutions, or SIFIs, could have more accountability and transparency, said a report issued Thursday by the Government Accountability Office.

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  1. FSOC process necessary, Dodd says

    trueThe Financial Stability Oversight Council's mission to identify systemically important non-bank financial institutions is necessary, former Sen. Christopher J. Dodd said Tuesday at an event marking the fourth anniversary of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

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  2. Credit Suisse gets temporary asset manager exemption from DOL

    trueThe Department of Labor is deferring a final decision on Credit Suisse’s bid for permission to continue providing asset management services to retirement plans, after its banking entity pleaded guilty to helping U.S. citizens avoid taxes overseas.

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  3. 18 banks sign ISDA rules to delay swaps termination rights

    trueNew rules that will delay swaps termination rights and collateral demands were signed by 18 major banks, the International Swaps and Derivatives Association announced Wednesday.

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  4. Regulators levy $4.4 billion in fines on banks for forex manipulation

    trueCitibank, HSBC, J.P. Morgan Chase, Royal Bank of Scotland and UBS received a combined $3.4 billion in penalties from U.S., U.K. and Swiss regulators for manipulating foreign exchange benchmark rates to benefit certain traders from 2008 to 2013.

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  5. First fines in forex probe expected Wednesday

    trueU.S., U.K. and Swiss authorities are preparing to levy the first penalties over foreign-exchange manipulation against at least six banks on Wednesday.

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  6. Critics strike back at tick-size pilot program

    trueThe inclusion of a trade-at provision in the SEC's proposed small-cap tick-size pilot program is proving controversial, with debate centering on whether it unfairly targets dark pools and makes the overall pilot too complex.

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  7. GOP Congress might revisit tax incentives for retirement plans

    trueAs Republicans prepare to take control of the 114th Congress in 2015, their agenda could change the tax incentives for retirement plan sponsors and participants. Money managers could also see changes if the new Congress revisits much-criticized financial regulation.

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  8. Target-date fund outcomes expose fiduciaries to risk

    trueTDFs are often black boxes, so many fiduciaries don't realize they do not have a rigorous conceptual basis — as demonstrated by the dramatic variation in the returns and asset allocations of funds with the same target date.

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  9. CFTC collects $3.27 billion in sanctions in fiscal 2014

    trueThe Commodities Futures Trading Commission collected a total of $3.27 billion in monetary sanctions from enforcement actions in the 12 months ended Sept. 30, the CFTC’s fiscal year.

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  10. SEC releases tick size pilot program plan for comment

    trueThe SEC late Monday released for public comment its plan to do a one-year pilot program to widen minimum tick sizes for small-cap stocks.

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  11. Precision, flexibility vital for DC plans, say speakers at P&I conference

    trueDefined contribution executives need to be both precise and flexible in the managing of their plans, according to fellow sponsors, consultants and providers who spoke at the annual Pensions & Investments West Coast Defined Contribution Conference, held Oct. 26-28 in San Diego.

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  12. DOL looking at conflicts of interest for consultants

    trueLabor Department officials are scrutinizing potential conflicts of interest when pension consultants with fiduciary responsibilities also manage a plan’s assets or recommend themselves for that role.

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  13. ERISA at 40: Stewards reflect on good, bad

    trueReflecting back on ERISA's first 40 years, the people who've administered it say there were some hits and some misses.

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