Regulation

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  1. 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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  1. 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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  2. 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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  3. 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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  4. 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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  5. 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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  6. American Benefits Council calls for simplified retirement approach from Washington

    trueEmployers need more flexibility and simplicity in providing retirement and other benefits, officials with the American Benefits Council said Tuesday as they unveiled a strategic plan for where employee benefits should be in 2020.

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  7. DC plans can expect little from Washington, conference attendees told

    trueDefined contribution plan executives have many opportunities to encourage participants to save more for retirement without needing extra legislation or regulation. And even if they wanted more rules and laws, there’s little chance significant legislation or regulation affecting the retirement plans ...

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  8. 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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  9. ERISA at 40

    trueWhile the Employee Retirement Income Security Act of 1974 benefited millions of people, it did not live up to the “retirement income security” part of its name. Along with praise for what ERISA did accomplish, there are now calls for fixing what it did not.

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  10. 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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  11. 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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  12. 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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  13. 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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