Regulation

Managers more serious about compliance

Managers more serious about compliance

Private 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...

October 27, 2014
ERISA at 40: Stewards reflect on good, bad

ERISA at 40: Stewards reflect on good, bad

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

October 27, 2014

ETP traders not responding to exchange overtures

All 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...

October 27, 2014

Daughters of Charity Health System church plan challenged

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

October 24, 2014 | 02:29 pm
Money managers to redraw battle plans after SEC nixes batch of nontransparent ETFs

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

Active 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-...

October 24, 2014 | 01:42 pm
SEC rejects applications for non-transparent ETFs

SEC rejects applications for non-transparent ETFs

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

October 22, 2014 | 02:49 pm

Regulation is top concern for boutique managers — report

Boutique 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.

October 13, 2014 | 02:49 pm

ISDA introduces rules to delay swaps termination rights

Swaps 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.

October 13, 2014 | 11:48 am
Political groups appeal SEC pay-to-play rule

Political groups appeal SEC pay-to-play rule

A 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.

October 13, 2014

Challenges from 401(k) fiduciary breaches litigation

With 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...

October 13, 2014
Canada might ban pension funds from investing in sponsor's stock

Canada might ban pension funds from investing in sponsor's stock

Canadian 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.

October 08, 2014 | 11:31 am

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

Pension 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...

October 06, 2014 | 01:00 pm
American Benefits Council calls for simplified retirement approach from Washington

American Benefits Council calls for simplified retirement approach from Washington

Employers 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...

September 23, 2014 | 01:26 pm
DC plans can expect little from Washington, conference attendees told

DC plans can expect little from Washington, conference attendees told

Defined 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...

September 19, 2014 | 10:11 am
CFTC eases restrictions on hedge fund advertising

CFTC eases restrictions on hedge fund advertising

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

September 10, 2014 | 02:58 pm