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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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June 20, 2022 page one

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  • Topics
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    • Hedge Funds
    • Industry Voices
    • Investing
    • Money Management
    • Opinion
    • Partner Content
    • Pension Funds
    • Private Equity
    • Real Estate
    • Russia-Ukraine War
    • SECURE Act 2.0
    • Special Reports
    • White Papers
  • Rankings & Awards
    • 1,000 Largest Retirement Plans
    • Top-Performing Managers
    • Largest Money Managers
    • DC Money Managers
    • DC Record Keepers
    • Largest Hedge Fund Managers
    • World's Largest Retirement Funds
    • Best Places to Work in Money Management
    • Excellence & Innovation Awards
    • WPS Innovation Awards
    • Eddy Awards
  • ETFs
    • Latest ETF News
    • Fund Screener
    • Education Center
    • Equities
    • Fixed Income
    • Commodities
    • Actively Managed
    • Alternatives
    • ESG Rated
  • ESG
    • Latest ESG News
    • The Institutional Investor’s Guide to ESG Investing
    • ESG Sustainability - Gaining Momentum
    • Climate Change: The Inescapable Opportunity
    • Impact Investing
    • 2022 ESG Investing Conference
    • ESG Rated ETFs
  • Defined Contribution
    • Latest DC News
    • DC Money Manager Rankings
    • DC Record Keeper Rankings
    • Innovations in DC
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    • 2022 Defined Contribution East Conference
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  • Searches & Hires
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    • RFPs
  • Performance Data
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    • Pension Risk Transfer Database
    • Future of Investments Research Series
    • Charts & Infographics
    • Polls
  • Careers
  • Events
    • View All Conferences
    • View All Webinars
    • 2022 Retirement Income Conference
    • 2022 Managing Pension Risk & Liabilities
    • 2022 WorldPensionSummit