Regulation

Corporate tax strategies threaten wealth creation

Corporate tax strategies threaten wealth creation

Google Inc. shareholders May 14 rejected by a 93% vote a proposal sponsored by my firm, seeking the adoption of a responsible code of conduct to guide the company's global tax strategies. I suspect...

May 14, 2014 | 04:35 pm
European pension execs uneasy over transaction tax outlook

European pension execs uneasy over transaction tax outlook

Pension funds in Europe remain in limbo over the potentially damaging effects that a European financial transaction tax could have on their investments and participants' savings.

May 12, 2014
CFTC commissioner: Agency needs to invest in derivatives trading oversight

CFTC commissioner: Agency needs to invest in derivatives trading oversight

A CFTC commissioner said the agency needs to invest more in technology to improve its surveillance of derivatives trading and plans to go to the traders themselves to seek their input.

May 07, 2014 | 02:14 pm
NYSE settles with SEC on oversight lapses

NYSE settles with SEC on oversight lapses

The New York Stock Exchange and two affiliated exchanges agreed to pay $4.5 million and re-evaluate their business practices to settle an enforcement action brought by the Securities and Exchange...

May 01, 2014 | 04:00 pm

SEC money market reform could hurt Federated, other large managers

New safeguards on money market funds expected from the Securities and Exchange Commission later this year will have a negative impact on some of the largest managers, according to a commentary...

April 29, 2014 | 05:47 pm
Collateral agreements increase amid new regulations, ISDA survey finds

Collateral agreements increase amid new regulations, ISDA survey finds

Regulatory requirements and increased best practices in swaps and derivatives trading have led to increases in collateral agreements, whether the trades are centrally cleared or not.

April 23, 2014 | 11:49 am
SEC proposes additional requirements for swaps dealers

SEC proposes additional requirements for swaps dealers

Swaps dealers would be required to maintain daily security-based trading records under proposed rules announced by the SEC on Wednesday.

April 17, 2014 | 04:20 pm

FATCA's good, bad, ugly choices

July 1 this year marks the dawn of the FATCA new world order. Giving the U.S. Internal Revenue Service unprecedented extraterritorial powers to gather information on foreign financial institutions...

April 14, 2014
SIFMA study responds to stability oversight council

SIFMA study responds to stability oversight council

As the U.S. Financial Stability Oversight Council and the Financial Stability Board in Basel consider ways to monitor risk among large money managers, the industry is trying to fill in some of the...

April 10, 2014 | 11:45 am
Report: Dodd-Frank puts stress on efficient collateral use

Report: Dodd-Frank puts stress on efficient collateral use

Money managers and banks must be more efficient in using collateral for swaps, as new clearing regulations will require far more assets to be placed with central counterparties — to the tune of ...

April 09, 2014 | 02:35 pm

SEC internal review finds bogus fees paid to private equity firms

A majority of private equity firms inflate fees and expenses charged to companies in which they hold stakes, according to an internal review by the Securities and Exchange Commission, raising the...

April 08, 2014 | 02:14 pm
SEC commissioners decry systemic designation for asset managers

SEC commissioners decry systemic designation for asset managers

Two Securities and Exchange Commission members this week backed the fund industry's stance that asset management companies shouldn't be deemed too big to fail, and they also complained that they are...

April 04, 2014 | 10:00 am
Hedge fund managers shy away from mutual funds

Hedge fund managers shy away from mutual funds

Huge growth in alternative investment mutual funds is fueling a big market for subadvisory hires for hedge fund managers.

March 31, 2014
ERISA Advisory Council to look at outsourcing and shift to a “non-ERISA” world in 2014

ERISA Advisory Council to look at outsourcing and shift to a “non-ERISA” world in 2014

Department of Labor ERISA Advisory Council voted Wednesday to spend 2014 investigating outsourcing best practices for plan sponsors and the shift from retirement plans covered by the Employee...

March 26, 2014 | 06:18 pm

Och-Ziff stock falls after announcement of SEC, Justice investigations

Och-Ziff Capital Management Group's stock fell 3.45% Wednesday after it announced U.S. regulators are investigating whether it broke bribery laws in accepting an investment from a sovereign wealth...

March 19, 2014 | 04:25 pm