REGULATION AND LEGISLATION
SEC standards-of-conduct package draws praise and criticism following its passage June 5.
Exchanges are challenging the SEC on a transaction fee pilot program and recent fee rulings, but the agency is undeterred.
The Senate confirmed Heath P. Tarbert to serve as chairman of the Commodity Futures Trading Commission.
Commissioners at the Securities and Exchange Commission approved a standards-of-conduct package in a 3-1 vote.
The Financial Conduct Authority is watching investor Neil Woodford after he froze withdrawals from his LF Woodford Equity Income Fund.
Deer Park Road Management will pay a $5 million penalty to settle charges of compliance deficiencies related to valuation of fund assets.
The U.K. Financial Conduct Authority introduced disclosure requirements for money managers and insurers about their engagement practices.
Puerto Rico's oversight board is asking officials to investigate local employers for failing to transfer payments to workers DC accounts.
A report found that few pension fund managers publicly state voting policies and guidelines on climate change, gender and ethnic diversity.
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.
