Regulation

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  1. CFTC eases restrictions on hedge fund advertising

    trueThe Commodity Futures Trading Commission softened restrictions on advertising by hedge fund managers that are registered as commodity pool operators.

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  1. Lessons learned from ERISA

    trueERISA was a farsighted law in many aspects, especially in defining and assigning fiduciary responsibility, including prohibition on conflicts of interests, to those overseeing pension funds. But ERISA in the long term failed to expand defined benefit coverage.

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  2. High-speed traders enlist former CFTC commissioner to improve image

    trueFormer U.S. Commodity Futures Trading Commission member Bart Chilton, an outspoken critic of some high-speed trading practices while at the agency, has been enlisted in a Washington-based effort to improve the image of an industry beset by regulatory and legislative scrutiny.

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  3. DOL issues RFI for guidance on brokerage windows in retirement plans

    trueThe Department of Labor issued a request for information to determine whether it should issue additional regulations and/or guidelines for brokerage windows in retirement accounts covered by the Employee Retirement Income Security Act.

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  4. Robert Nagle, an architect of ERISA, dies at 84

    trueRobert E. Nagle, who as general counsel of the Senate Committee on Labor and Public Welfare was one of the architects of the Employee Retirement Income Security Act of 1974, died on Saturday night in McLean, Va., following a battle with cancer. He was 84.

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  5. S&P Dow Jones Indices stands pat on Russian stocks

    trueS&P Dow Jones Indices will not remove any Russian stocks from its indexes at this time as a result of recent sanctions on some Russian securities imposed by the Department of Treasury’s Office of Foreign Assets Control, said David Blitzer, managing director and chairman of the index committee.

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  6. Challenges of cybersecurity

    trueTrustees and other fiduciaries overseeing large asset pools face increasing challenges from cybersecurity risk, and must strengthen their risk management and preparedness to deal with these potential threats.

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  7. Global retirement systems must be reformed — EY report

    trueThere is a general acceptance among industry experts, policymakers and governments that global retirement systems must be reformed

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  8. Sanctions against Russia may lead to index changes

    trueIndex funds might have to divest Russian securities under new sanctions.

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  9. Poll results: Do you think Dodd-Frank addresses the 'too-big-to-fail' threat?

    trueThe vast majority of P&I Online readers do not believe the Dodd-Frank Act addresses the "too-big-to-fail" threat.

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  10. 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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  11. Hedge funds, banks come under fire for basket options

    trueRenaissance Technologies, Barclays Bank PLC, and Deutsche Bank AG were criticized for misusing structured financial products to avoid taxes and banking leverage limits.

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  12. 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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  13. 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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