Regulation

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  1. District Court judge declines to stop SEC action against Patriarch Partners

    truePatriarch Partners and CEO Lynn Tilton lost their bid to have a U.S. District Court judge stop an SEC administrative proceeding against them, but are appealing the decision.

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  1. IRA regulation on the horizon, Washington experts say

    trueThe Department of Labor’s proposed update to its fiduciary rule “is all about the ERISA-fication of the IRA space,” Groom Law Group Chairman Steven Saxon told attendees at the Insured Retirement Institute’s Washington conference on Monday.

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  2. Senate panel offering no money for DOL fiduciary rule

    trueA Senate Appropriations Committee budget bill approved Thursday doesn't allow any money for the Department of Labor to finalize its proposed fiduciary rule.

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  3. SEC files Wells notice against State Street

    trueThe Securities and Exchange Commission is recommending that action be taken against State Street Corp., said an 8-K filing from State Street on Thursday.

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  4. Labor secretary defends conflict-of-interest proposal

    trueLabor Secretary Thomas Perez defended his agency's proposed new rule to address conflicts of interest in retirement investment advice at a House hearing Wednesday.

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  5. IRS to halt issuing certain determination letters

    trueThe IRS' plan to stop issuing some determination letters, necessary proof for companies that their retirement plans are tax qualified, puts plan executives into the hot seat.

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  6. SEC scrutinizing stapled transactions

    trueGeneral partner-driven stapled transactions, a small but growing corner of the private equity secondary market, are drawing the attention of the Securities and Exchange Commission because of potential conflicts of interest and lack of transparency for limited partners.

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  7. European pension funds get additional 2-year reprieve on clearing regulation

    trueEuropean Pension funds have been granted an additional two-year exemption from a requirement to centrally clear certain derivatives trades.

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  8. Pension fund coalition campaigns for SIFI exclusion

    trueA coalition of pension fund representative associations across the U.S. and Europe has urged regulators to follow through with a proposed exclusion of pension funds from designation as systemically important.

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  9. DC execs wary about what Tibble ruling didn't say

    trueAttorneys who represent defined contribution plan sponsors and DC plan consultants say the U.S. Supreme Court's recent decision in Tibble et al. vs. Edison International has created uncertainty for plan executives.

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  10. Rhode Island investment commission to require transparency from money managers

    trueRhode Island State Investment Commission, Providence, approved a new investment policy put forth by state Treasurer Seth Magaziner requiring transparency from investment managers, said Mr. Magaziner.

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  11. Money managers urge focus on activities, not size, for SIFI designations

    trueGlobal money managers and the associations that represent them have urged the Financial Stability Board and the International Organization of Securities Commissions to drop their efforts in creating a methodology to designate certain money managers and investment funds as systemically important.

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  12. Some 39% of benefit plan audits show major deficiencies — EBSA study

    trueSome accountants auditing employee benefit plans have a quality problem, said a study published Thursday by the Department of Labor's Employee Benefits Security Administration.

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  13. SEC proposes rules requiring more fund disclosure, including on derivatives

    trueThe Securities and Exchange Commission announced Wednesday a series of proposals aimed at modernizing and enhancing data reporting by registered investment companies and investment advisers.

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