The U.K. Financial Conduct Authority is seeking industry input on a new type of illiquid fund aimed at defined contribution plans.
Australia's securities regulator is probing Westpac Banking over insider trading, just months after it settled money laundering charges.
Jessica Wachter was appointed the SEC's chief economist and director of the division of economic and risk analysis.
Institutional investors are encouraged that new SEC Chairman Gary Gensler has a track record of getting controversial things done.
Cryptocurrency advocates will have to wait a while longer for the U.S. regulator's verdict on bitcoin ETF approval as applications pile up.
The U.K.'s financial watchdog wants to exempt bond and small-company research from European trading rules.
U.S. regulators are considering tougher disclosure requirements for investment firms in response to the implosion of Archegos Capital.
Sacha Sadan will join the Financial Conduct Authority this summer as its first director of environment, social and governance.
The Labor Department's new investment-advice guidance makes clear that rollover recommendations will be a major focus moving forward.
Senators called on the Labor Department regulator not to exempt Goldman Sachs from 1MDB-related penalties on managing retirement assets.
An SEC official warned that creating SPACs and taking them public is "not a free pass" to avoid federal securities laws.
The SEC has backed New York State Common Retirement Fund's bid to have Amazon.com conduct an independent racial-equity audit.
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.
A joint Senate resolution was introduced to undo a controversial SEC rule change making it harder for shareholders to submit proposals.
ESMA is proposing reforms to the Money Market Funds Regulation in light of stress the strategies came under at the height of the pandemic.
Three key Republican senators want the Labor Department to reverse course on its decision to not enforce two Trump-era rules.
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.
Top executives at companies hit by accounting scandals could lose their bonuses under U.K. proposals for beefed-up regulation.
The U.K. Pensions Regulator is seeking views on its proposal to consolidate multiple codes of practice.
The Department of Labor will not enforce two high-profile rules promulgated during the Trump administration.
A group of former financial regulators called on Congress to examine the stability of the financial system following the GameStop episode.
The SEC is launching an enforcement task force to look for material gaps or misstatements as issuers disclose climate risks.
The SEC's exam priorities in 2021 will focus on climate-related risks and conflicts of interests for brokers and investment advisers.
Marty Walsh will have a lot on his plate when he becomes labor secretary, but work on retirement issues is expected to continue.
The U.K. Treasury wants views on a proposal to help market participants avoid any litigation resulting from the phaseout of LIBOR.