Regulation

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  1. 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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  1. Labor Department extends fiduciary rule comment period

    trueThe Department of Labor will give extra time for public comments on its proposed new fiduciary conflict-of-interest rule.

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  2. SEC to expand alternative investment examination program to more asset classes

    trueSecurities & Exchange Commission plans to expand its ongoing alternative investment examination program to other alternative investment managers including credit advisers, infrastructure and timber managers, said Marc Wyatt, acting director of the SEC's office of compliance inspections and ...

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  3. SEC approves small-cap tick pilot

    trueThe Securities and Exchange Commission on Thursday gave final approval for a two-year pilot program beginning May 6, 2016, to increase the tick sizes — minimum quoting and trading increments — for smaller-cap stocks.

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  4. Borzi: Updated Form 5500, fiduciary hearings on DOL summer calendar

    trueThe Department of Labor is planning a busy summer, Assistant Secretary Phyllis Borzi told attendees at the International Foundation of Employee Benefit Plans’ Washington legislative conference Monday, with an agenda that includes the new proposed fiduciary rule, an updated Form 5500 and ways to ...

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  5. Knowing the difference between 2 facets of the fiduciary standard

    truePresident Barack Obama's remarks on Feb. 23 about the Department of Labor's re-proposed fiduciary standard are an excellent illustration of the two faces of a fiduciary standard. On the one hand, Mr. Obama singled out great advisers who are doing the right thing for their clients. He then changed ...

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  6. Concerned? Please speak up

    trueThe Department of Labor has taken a welcome step in protecting the retirement assets of workers with its proposed new fiduciary rule.

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  7. Experts see trouble ahead from MiFID II

    trueEuropean market regulators' efforts to apply equity templates to trading in other asset classes will be felt by U.S. money managers and asset owners through higher trading costs, reduced investment performance and a potential move to more in-house management by asset owners, industry analysts said.

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  8. SEC proposal would require certain non-U.S. swap dealers to register in U.S.

    trueThe SEC on Wednesday proposed requiring non-U.S. swap dealers that operate trading desks in the U.S. to register with the agency as a security-based swap dealer.

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  9. SEC approves pay-for-performance requirement for companies

    trueThe Securities and Exchange Commission on Wednesday approved new pay-for-performance requirement that means companies must now disclose the relationship between executive compensation and financial performance of the company.

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  10. DeAWM petitions DOL for exemption to manage U.S. retirement assets

    trueDeutsche Asset & Wealth Management, the money management unit of Deutsche Bank, applied to the U.S. Department of Labor for permission to continue providing services to retirement plans after the bank's DB Group Services U.K. unit pleaded guilty to federal charges that it manipulated interest ...

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  11. Deutsche Bank to pay $2.5 billion settlement for LIBOR manipulation

    trueDeutsche Bank will pay more than $2.5 billion to settle charges by U.S., U.K. and New York state authorities that it manipulated the London interbank offered rate for the U.S. dollar, yen, pound and Swiss franc, and the euro interbank offered rate interest rate benchmarks.

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  12. Investor groups say SEC should require companies to disclose political spending

    trueFive state treasurers, including North Carolina Treasurer Janet Cowell, sole trustee of the $88.8 billion North Carolina Retirement Systems, Raleigh, are urging the SEC to require corporate political disclosures.

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  13. DOL's proposed fiduciary rule on advice gets a thumbs-up

    trueDefined contribution industry executives are optimistic that after nearly four years of work and intense debate, the Department of Labor's proposal for updating a 40-year fiduciary standard for anyone giving retirement investment advice will finally bring greater protection for their participants ...

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