Regulation

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  1. SEC proposes additional requirements for swaps dealers

    trueSwaps dealers would be required to maintain daily security-based trading records under proposed rules announced by the SEC on Wednesday.

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  1. SIFMA study responds to stability oversight council

    trueAs the U.S. Financial Stability Oversight Council and the Financial Stability Board in Basel consider ways to monitor risk among large money managers, the industry is trying to fill in some of the information gaps.

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  2. Report: Dodd-Frank puts stress on efficient collateral use

    trueMoney managers and banks must be more efficient in using collateral for swaps, as new clearing regulations will require far more assets to be placed with central counterparties — to the tune of a combined $2 trillion, according to a report from TABB Group.

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  3. SEC internal review finds bogus fees paid to private equity firms

    trueA majority of private equity firms inflate fees and expenses charged to companies in which they hold stakes, according to an internal review by the Securities and Exchange Commission, raising the prospect of a wave of sanctions by the agency.

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  4. SEC commissioners decry systemic designation for asset managers

    trueTwo Securities and Exchange Commission members this week backed the fund industry's stance that asset management companies shouldn't be deemed too big to fail, and they also complained that they are being shut out of deliberations by federal regulators that could lead to tougher regulation on the ...

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  5. Hedge fund managers shy away from mutual funds

    trueHuge growth in alternative investment mutual funds is fueling a big market for subadvisory hires for hedge fund managers.

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  6. ERISA Advisory Council to look at outsourcing and shift to a “non-ERISA” world in 2014

    trueDepartment of Labor ERISA Advisory Council voted Wednesday to spend 2014 investigating outsourcing best practices for plan sponsors and the shift from retirement plans covered by the Employee Retirement Income Security Act to what council members called a “non-ERISA world.”

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  7. Och-Ziff stock falls after announcement of SEC, Justice investigations

    trueOch-Ziff Capital Management Group's stock fell 3.45% Wednesday after it announced U.S. regulators are investigating whether it broke bribery laws in accepting an investment from a sovereign wealth fund.

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  8. Multiple employer plans grabbing more attention

    trueA concerted effort in Washington to get more employers to offer retirement plans has raised the profile of multiple employer plans, a largely untapped market for institutional money managers and other service providers.

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  9. DOL proposes 401(k) plan fee-disclosure guide

    trueThe Department of Labor Tuesday proposed a guide for navigating information provided by service providers, in an effort to help plan executives and fiduciaries of 401(k) defined contribution plans better understand the fees they are paying.

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  10. DC East speakers tout importance of education, communication

    trueSuccess in achieving defined contribution plan goals can rely as much on how plan executives and service providers communicate as to what investment options they offer, plan designs they prepare, and products and services they develop

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  11. Companies bracing for 1-2 retirement punch

    trueDespite the growing drumbeat in Washington to stimulate more retirement savings, the prospect for real change is dim, and retirement plan sponsors are braced for more bad news from Congress and the White House.

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  12. A new cop at the SEC

    trueWith Mary Jo White now leading the Securities and Exchange Commission, senior executives of investment management firm and officials of fiduciary fund boards as well as compliance professionals alike should recognize the need to step up their game to avoid a potential run-in with the new cop on the ...

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  13. NYPPEX expects transaction volume on secondary market to rise in 2014

    trueThe Volcker rule, finalized in December by five federal agencies, including the Securities and Exchange Commission, will have a major positive impact on the transaction volume of private equity and hedge fund limited partnership interests on the secondary market this year.

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