The Financial Conduct Authority is watching investor Neil Woodford after he froze withdrawals from his LF Woodford Equity Income Fund.
The Senate confirmed Heath P. Tarbert to serve as chairman of the Commodity Futures Trading Commission.
The U.K.'s FCA endorsed the Cost Transparency Initiative's templates, which are designed to help standardize disclosure of investment fees.
MiFID II has left active managers in a sweet spot by elevating the value of their in-house small- and midcap research, sources said.
Aon Hewitt Investment Consulting said the SEC has ended an investigation into its marketing materials without bringing enforcement action.
The U.K. Financial Conduct Authority and Australian Securities and Investments Commission agreed to boost cooperation after the U.K. leaves the European Union.
A Senate panel called for more scrutiny into the use of ESG principles by institutional investors, fund managers and proxy advisory firms.
The European Commission proposed lower capital requirements for insurance companies holding private equity and private debt assets.
The European Parliament and European Union countries agreed on sustainable investment disclosure rules for institutional investors.
An SEC pilot program about exchange transaction fees is under a legal challenge, but pension funds and other asset owners vow to press on.
Fidelity says it fully discloses fees that it charges some mutual funds for using the firm's platform to access retirement plan customers.
State Street is in discussions with the SEC to settle a possible action against the firm for allegedly overcharging asset-servicing clients.
A no-deal Brexit will result in U.K. market participants losing their rights to access the European Union market, ESMA chief says.
Some judges inject their ERISA decisions with colorful analogies.
Five authors win the Richard A. Crowell Prize for their paper "IQ from IP: Simplifying Search in Portfolio Choice."
The U.K.'s FCA extended rules about transparent investment policies to apply to delegated portfolio managers and alternative fund managers.
The Financial Conduct Authority is seeking input from money managers and insurance companies on how to improve shareholder engagement.
The FCA proposed investment firms offer ready-made decumulation strategies to savers who enter drawdown without taking advice.
Yucaipa Cos. agreed to pay $3 million to settle claims it failed to disclose conflicts of interests and misallocated fees and expenses.
Heath P. Tarbert will be nominated to serve as commissioner and chairman of the Commodity Futures Trading Commission.
Aon Hewitt Investment Consulting is being investigated by the SEC, which is focusing on the firm's marketing materials and custodial fees.
Representatives of EU governments and the European Parliament agreed on draft legislation to screen foreign direct investments.
The SEC Investor Advisory Committee urged the commission to strengthen and clarify its standards-of-conduct package proposal.
A program testing an updated process for flagging foreign investments that could raise national security considerations will begin in November.
The Commodity Futures Trading Commission and Australian Securities and Investments Commission agree on a plan to support financial technology innovation.