Australia's securities regulator is probing Westpac Banking over insider trading, just months after it settled money laundering charges.
Institutional investors are encouraged that new SEC Chairman Gary Gensler has a track record of getting controversial things done.
U.S. regulators are considering tougher disclosure requirements for investment firms in response to the implosion of Archegos Capital.
The Labor Department's new investment-advice guidance makes clear that rollover recommendations will be a major focus moving forward.
An SEC official warned that creating SPACs and taking them public is "not a free pass" to avoid federal securities laws.
A Trump-era investment-advice exemption was allowed to take effect in February, but the DOL signaled it has more work to do on the issue.
Chevron shareholders will be able to vote on proposals calling for emission reductions, after the SEC said Chevron couldn't exclude them.
The DOL's non-enforcement policy for two Trump-era rules is welcome news for fiduciaries, but an ESG-investing boom isn't expected just yet.
The SEC said it's seeking to identify potential misconduct and will scrutinize brokerages' decisions to halt buying in certain stocks.
SEC Commissioner Hester M. Peirce is optimistic the agency will provide clarity on cryptocurrency assets with Gary Gensler at the helm.
The Department of Labor has unveiled three pieces of guidance related to missing participants, including a range of best practices.
The New York Stock Exchange is proceeding with a plan to delist three Chinese telecommunications firms, its second about-face this week.
The New York Stock Exchange is reconsidering a decision to halt the delisting of three Chinese firms after Trump administration objections.
The European Commission is considering the inclusion of advice costs into the fee cap of pan-European personal pension products.
The SEC adopted rules aimed at modernizing the collection and dissemination of data for national market system stocks listed by exchanges.
A change in the White House is not expected to change pressure on Chinese companies in U.S. markets to be more transparent.
CPPIB is being urged to disclose a long-term strategy for exiting fossil-fuel investments.
Oil refiner Andeavor agreed to pay a $20 million penalty for a stock buyback transaction that occurred during buyout talks with Marathon.
China is tightening rules and imposing capital demands in its latest attempt to curb risks in the nation's $49 trillion financial industry.
The DOL has proposed a rule to narrow the ability for ERISA-governed fiduciaries to cast proxy votes, much to the ire of some stakeholders.
The Labor Department proposed a rule that would limit when ERISA-governed fiduciaries are allowed to cast proxy votes.
Research on bonds and certain stocks would be exempt from trading rules under new proposals, as part of a COVID-19 recovery package.
Four new members have been named along with Chairman Glenn Butash to serve on the Department of Labor's ERISA Advisory Council.
The SEC's Reg BI has taken effect, but in light of the pandemic, how it will be enforced remains to be seen.
With several SEC setbacks, investors are not expecting much progress on efforts to increase transparency and control trading fees.