Regulation

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  1. Norm Champ to leave as SEC's director of investment management

    trueNorm Champ is resigning from the SEC as director of investment management at the end of January, the Securities and Exchange Commission announced Wednesday.

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  1. Advocate church plan appeal advances

    trueAdvocate Health Care can proceed to the appeals court level to defend itself in a church pension plan challenge, a federal judge said.

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  2. SEC approves new transparency rules on swaps trades

    trueMost swaps trades will have to be reported to the public under rules approved by the SEC on Wednesday.

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  3. SEC prioritizes market risks for 2015, will continue to review private equity fees

    trueSEC compliance officials will spend 2015 focused on protecting retail investors' retirement savings and assessing market risks

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  4. MetLife appeals to federal court to overturn SIFI designation

    trueMetLife Inc. asked a federal court on Tuesday to overturn its designation as a non-bank systemically important financial institution by the Financial Stability Oversight Council.

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  5. Direct Edge Holdings to pay $14 million in SEC settlement

    trueTwo Direct Edge exchanges now owned by BATS Global Markets will pay $14 million to settle charges of improperly describing stock orders, the SEC announced Monday.

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  6. ERISA Industry Committee names new CEO

    trueAnnette Guarisco Fildes was named CEO of the ERISA Industry Committee Monday.

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  7. FSOC officials still studying money managers

    trueFurther regulation of money managers by the Financial Stability Oversight Council is not on the immediate horizon, current and former officials said Friday.

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  8. Ontario requiring all DB funds to disclose ESG data

    trueA regulation enacted by the Ontario Parliament late last year will require trustees of all occupational defined benefit pension plans in the province to disclose whether environmental, social and governance factors are incorporated in the pension fund’s investment policies and procedures.

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  9. Judge rejects motion to dismiss in Advocate church plan case

    trueA church plan challenge filed against Advocate Health Care Network Pension Plan can proceed, a federal judge ruled Dec. 31.

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  10. PBGC urged to listen more to constituents, take less adversarial stance

    trueThe Pension Benefit Guaranty Corp. needs to listen more to plan executives and participants instead of taking an adversarial approach, the agency’s participant and plan sponsor advocate said in a report issued Wednesday.

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  11. IRS hybrid plan transition rules criticized

    trueSponsors of cash balance plans and other hybrid retirement plans welcomed final rules in September from the IRS but are now criticizing the agency’s proposed transition rules on market rates of return.

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  12. Comerica chosen as myRA custodian

    trueComerica will serve as custodian for the Treasury Department’s upcoming “myRA” retirement savings bond program, which is being rolled out in phases.

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  13. Comerica picked as custodian for Treasury's myRA retirement program

    truestrong>Comerica was picked to help manage a retirement savings program President Barack Obama announced earlier this year in an effort to help Americans who don't have 401(k) plans.

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