Regulation

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  1. Precision, flexibility vital for DC plans, say speakers at P&I conference

    trueDefined contribution executives need to be both precise and flexible in the managing of their plans, according to fellow sponsors, consultants and providers who spoke at the annual Pensions & Investments West Coast Defined Contribution Conference, held Oct. 26-28 in San Diego.

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  1. ERISA at 40: Stewards reflect on good, bad

    trueReflecting back on ERISA's first 40 years, the people who've administered it say there were some hits and some misses.

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  2. Managers more serious about compliance

    truePrivate equity and hedge fund managers, prodded by their institutional clients, are taking compliance more seriously as federal examiners and enforcers up their game targeting practices they say put investors at a disadvantage.

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  3. Pact raises caution flag on swaps

    trueAsset owners that use swaps could ultimately face losses and added risk as a result of an agreement among 18 major global banks.

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  4. ETP traders not responding to exchange overtures

    trueAll too often, exchange-traded products are described as mutual funds that trade like stocks. A closer look reveals that not to be the case. To the surprise of many, ETP traders are comfortable in the dark.

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  5. Daughters of Charity Health System church plan challenged

    trueAnother church-affiliated hospital system is being sued by employees challenging its defined benefit plan’s exemption from federal pension law.

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  6. Money managers to redraw battle plans after SEC nixes batch of nontransparent ETFs

    trueActive fund managers will have to redraw battle plans in their years-long push to bring new products to exchanges after regulators delivered a public rebuke to two proposals for so-called “non-transparent” ETFs.

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  7. SEC rejects applications for non-transparent ETFs

    trueThe Securities and Exchange Commission has declined an appeal by active fund managers to allow ETFs to trade without disclosing their underlying holdings.

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  8. Regulation is top concern for boutique managers — report

    trueBoutique money managers globally say regulation is the greatest potential hindrance to their success, with the proportion of those citing it as a major focus increasing to 42% compared with 2013.

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  9. ISDA introduces rules to delay swaps termination rights

    trueSwaps termination rights and collateral demands will be delayed under rules introduced by the International Swaps and Derivatives Association and agreed to Oct. 11 by 18 major banks.

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  10. Political groups appeal SEC pay-to-play rule

    trueA federal limit on political contributions by money managers doing business with public pension funds is working so well that some political groups are continuing to challenge it in court.

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  11. Challenges from 401(k) fiduciary breaches litigation

    trueWith ERISA entering its 41st year, commentators highlighting the landmark legislation's successes and failures have paid little attention to the newfound focus on fiduciary responsibility resulting from an increase in litigation from alleged fiduciary breaches, particularly in 401(k) defined ...

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  12. Canada may ban pension funds from investing in sponsor's stock

    trueCanadian corporate pension plans would be banned from investing directly in their sponsoring company stock under a draft of federal regulatory changes announced late last month.

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  13. PPF expects to collect £635 million, down from year earlier

    truePension Protection Fund, London, will collect £635 million ($1 billion) in levies from qualifying employers for the 2015-’16 fiscal year, almost 9% less than the 2014-‘15 year estimate, a statement from the fund said.

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