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REGULATION AND LEGISLATION

Standards-of-conduct rules approved along party lines
REGULATION AND LEGISLATION
Standards-of-conduct rules approved along party lines

SEC standards-of-conduct package draws praise and criticism following its passage June 5.

Investors hail SEC guidelines on exchanges
REGULATION AND LEGISLATION
Investors hail SEC guidelines on exchanges

Exchanges are challenging the SEC on a transaction fee pilot program and recent fee rulings, but the agency is undeterred.

Senate confirms new CFTC chairman
REGULATION AND LEGISLATION
Senate confirms new CFTC chairman

The Senate confirmed Heath P. Tarbert to serve as chairman of the Commodity Futures Trading Commission.

SEC passes Reg BI package by 3-1 vote
REGULATION AND LEGISLATION
SEC passes Reg BI package by 3-1 vote

Commissioners at the Securities and Exchange Commission approved a standards-of-conduct package in a 3-1 vote.

U.K. regulator watching manager over Woodford fund freeze
REGULATION AND LEGISLATION
U.K. regulator watching manager over Woodford fund freeze

The Financial Conduct Authority is watching investor Neil Woodford after he froze withdrawals from his LF Woodford Equity Income Fund.

Deer Park Road Management to pay $5 million to settle SEC charges
REGULATION AND LEGISLATION
Deer Park Road Management to pay $5 million to settle SEC charges

Deer Park Road Management will pay a $5 million penalty to settle charges of compliance deficiencies related to valuation of fund assets.

U.K.'s FCA sets new requirements for disclosing engagement practices
REGULATION AND LEGISLATION
U.K.'s FCA sets new requirements for disclosing engagement practices

The U.K. Financial Conduct Authority introduced disclosure requirements for money managers and insurers about their engagement practices.

Puerto Rico board asks for investigation of delinquent DC transfers
REGULATION AND LEGISLATION
Puerto Rico board asks for investigation of delinquent DC transfers

Puerto Rico's oversight board is asking officials to investigate local employers for failing to transfer payments to workers DC accounts.

Few pension fund managers publicly disclose ESG voting rules
REGULATION AND LEGISLATION
Few pension fund managers publicly disclose ESG voting rules

A report found that few pension fund managers publicly state voting policies and guidelines on climate change, gender and ethnic diversity.

FCA warns ESMA rules won't eliminate risk of market disruption in no-deal Brexit
REGULATION AND LEGISLATION
FCA warns ESMA rules won't eliminate risk of market disruption in no-deal Brexit

The FCA warned that the ESMA's revised approach to equity trading will not eliminate the risk of market disruption in a no-deal Brexit.

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December 12, 2022 page one

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  • Topics
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    • SECURE 2.0
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    • Washington
    • White Papers
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    • Largest Money Managers
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    • Largest Hedge Fund Managers
    • World's Largest Retirement Funds
    • Best Places to Work in Money Management
    • Excellence & Innovation Awards
    • WPS Innovation Awards
    • Influential Women in Institutional Investing 2023
    • Eddy Awards
  • ETFs
    • Latest ETF News
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    • Education Center
    • Equities
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    • Commodities
    • Actively Managed
    • Alternatives
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    • ESG Sustainability - Gaining Momentum
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    • Innovation in ESG Investing
    • 2023 ESG Investing Conference
    • ESG Rated ETFs
    • Divestment Database
  • Defined Contribution
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