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Apr 23, 2015
IMF Advocates Stress Testing for Asset Management Industry
Apr 14, 2015
DOL Rolls Out Anticipated Fiduciary Proposal
Mar 24, 2015
FSOC Struggles to Understand Asset Management Business, Say Industry Proponents
Mar 20, 2015
BNY Reaches $714M Settlement with Regulators over Forex Transactions
Mar 18, 2015
SEC Chair White: Agency Should Implement Uniform Fiduciary Duty
Mar 13, 2015
CFTC Forced to Revisit Cross-border Application of Derivatives Clearinghouse Rules
Feb 23, 2015
Obama Orders DOL to Get Moving on Fiduciary Standard for Broker-dealers Advising Retirement Savers
Feb 20, 2015
SEC Proposes Rule on Hedging Disclosure
Feb 20, 2015
What SEC Has in Store for 2015
Feb 18, 2015
Holder: Prosecution of Individuals Linked to Financial Crisis Still Possible
Feb 18, 2015
Mutual Fund Adviser Penalized $50K for Alleged Custody Rule Violations
Jan 27, 2015
SEC Moves Toward Security-based Swap Transparency
Jan 27, 2015
TIAA-CREF Offers Guidelines for Assessing Plan Fees Using Value and Outcomes
Jan 23, 2015
As International Swaps Are Pushed to Clearinghouses, Regulatory Scrutiny Follows
Jan 23, 2015
Norm Champ, SEC Director of Investment Management Departing
Jan 22, 2015
OCIE Keeps Fixed Income Markets, Retirement Savings and PE Funds Atop 2015 Priorities List
Jan 21, 2015
Standard & Poor’s Hit with $70M Penalty and Partial Suspension
Dec 19, 2014
Lockheed Martin Settles 2006 $1.3B Excessive Fee Case
Dec 18, 2014
Moody’s Downgrades MMF Sector Citing Regulations and Monetary Policy
Dec 18, 2014
CFTC Re-opens Comment Period on Controversial Position Limits Proposal
Dec 15, 2014
Morgan Stanley Pays $4M to SEC to Settle Charges Relating to Client Credit Limits
Dec 15, 2014
‘Retirement Income Generators’ Proposed by Mercer Could Help Plan Sponsors Change Outcomes
Nov 25, 2014
CFTC Chairman: International Enforcement Cooperation is New Norm
Nov 25, 2014
Unwanted Money: Small Amounts Left Behind in Retirement Accounts Add up to Big Costs
Nov 25, 2014
N.Y. Adviser to Pooled Investment Vehicles Charged With Custody Rule Violations
Nov 25, 2014
‘Market Integrity’ Cases Propel CFTC to Record Enforcement Year
Nov 21, 2014
Foreign Bonds Reflecting Reforms Pushed by IMF
Oct 28, 2014
A $4.16 Billion Haul and a Year of ‘Firsts’ for SEC
Oct 23, 2014
SEC Enforcers Single out Ex Compliance Officer After Wells Fargo Advisors Settles, Admits Charges
Oct 22, 2014
SEC, Industry Eyeing Non-government Bond Pricing Reform
Oct 22, 2014
SEC Guidance for Fund Advisers
Oct 22, 2014
Market Volatility: IMF Pushes for Stimulus, Bond Reform, Frets Over Euro-zone Slump
Oct 16, 2014
As Retirement Plan Service Fees Continue Decline, Survey Leader Suggests Move Away from Bundling
Oct 3, 2014
Barclays Capital Must Hire Compliance Consultant to Satisfy SEC Order
Sep 26, 2014
Barr to Be Next President/CEO of Investment Adviser Association
Sep 24, 2014
SEC’s Final Package of Securitization Market and Rating Agency Reforms Emphasizes Transparency
Sep 24, 2014
SEC Announces ‘Largest-ever’ $30M Whistleblower Award to Foreign Resident
Sep 23, 2014
Wells Fargo Advisors To Pay SEC $5M Over Failure to Stop Alleged Insider Trading
Sep 16, 2014
Hiring a Plan Adviser Can Ease Fiduciary Tasks for Plan Sponsors Wanting to Outsource
Aug 29, 2014
DOL Seeks Answers to Better Understand Brokerage Windows in 401(k)s
Aug 21, 2014
Admission of Law Violation Part of BoA’s Record-setting $17B Settlement
Aug 19, 2014
Some CCOs Could Use a Little Help, Survey Seems to Show
Aug 13, 2014
Fidelity Settles 401(k) Investment Suits With Own Employees for $12 Million
Jul 23, 2014
SEC Adopts Money Market Fund Reforms, Imposes Floating NAV
Jul 21, 2014
SEC User Fee Legislation Gains Bipartisan Support
Jun 26, 2014
Supreme Court Denies Presumption of Prudence to ESOP Sponsors
Jun 24, 2014
SEC Chair Unveils Plans to Regulate High-frequency Trading Firms
Jun 23, 2014
Gallagher: Third-party Exams Could Close Gap in Adviser Exam Program
Jun 16, 2014
Derivative ‘Overlay’ Providers Can Help DB Plans Control Interest-Rate Risk
Jun 16, 2014
Half of DC Plans Now Offer Roths, but Employees Are Less Enthused

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