Regulation

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  1. CFTC commissioner appointed CEO at International Swaps and Derivatives Association

    trueScott O'Malia was named CEO of the International Swaps and Derivatives Association, the organization announced Wednesday.

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  1. Dodd-Frank critics mark anniversary with reform ideas

    trueThe House Financial Services Committee wants to mark the fourth anniversary of the Dodd-Frank Wall Street Reform and Consumer Protection Act by repealing some provisions.

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  2. Risk from liquidity to regulation a concern for investment execs

    trueMoney managers and asset owners are wrestling with how to help employees manage their investments to provide adequate retirement income in a defined-contribution-dominated world, said speakers at Pensions & Investments' Investment Innovation & the Global Future of Retirement conference, held in New ...

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  3. Transparency could guide SEC trading agenda

    trueIncreasing the transparency of prices and potential conflicts of interest in institutional trades in dark pools and automated trading systems will drive the SEC's policy agenda for the next several years and could offer investors leverage to better control trading costs.

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  4. DOL fee-disclosure guide upsetting DC record keepers

    trueMembers of the defined contribution industry have had three months to try to digest a Department of Labor proposed rule on fee disclosure, and many of them are choking on it.

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  5. Academics tackle high-frequency trading problem

    trueThree academics have identified a market structure they contend would enhance liquidity and stability, overcoming detrimental impacts to investors of high-frequency trading.

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  6. SEC chairwoman outlines proposals for dark pools, HFT

    trueThe SEC will consider requiring more disclosure of institutional trades made through dark pools and other automated trading systems, and require high-frequency traders to register as broker-dealers, under proposals unveiled Thursday by Mary Jo White, SEC chairwoman.

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  7. Credit Suisse awaits DOL asset manager exemption

    trueCredit Suisse is seeking 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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  8. New Tennessee law requires full pension contributions by local governments

    trueTennessee Gov. Bill Haslam signed legislation on Wednesday that will require some local governments in the state to increase contributions to their pension funds.

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  9. Pension Protection Fund wants comments on new insolvency risk model

    truePension Protection Fund, London, is seeking comment on its new insolvency risk model, which will produce customized scores to better assess employers’ insolvency risk and to calculate contributions.

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  10. Money managers remaining vigilant against FSOC

    trueMoney managers watching the Financial Stability Oversight Council grapple with systemic risk breathed more easily after being given a chance at a recent Washington conference to explain what they do. Still, they're not letting down their guard or putting away potential weapons just yet.

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  11. TVA falls through cracks as plan funding deteriorates

    trueWith widespread improvements in pension plan funded levels reported for U.S. corporations, it was alarming to learn the Tennessee Valley Authority's pension plan was only 63% funded at the end of its fiscal year Sept. 30.

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  12. SEC Chairwoman White discusses money market reform, FSOC at ICI conference

    trueNew rules imposing safeguards on money market funds will be out “in the very near term,” SEC Chairwoman Mary Jo White said Thursday at an Investment Company Institute conference in Washington.

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  13. FSOC hears from money managers, House critics on systemically important designations

    trueFinancial Stability Oversight Council should “cease and desist” its review of money managers and other financial institutions that might be designated systemically important, House Financial Services Committee Chairman Jeb Hensarling, R-Texas, said Tuesday at a hearing on the designation process.

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