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May 29, 2014
EC to Extend June 15 Deadline for Derivatives Clearinghouses to Become QCCPs, Says Official
May 27, 2014
SEC Says Hedge Fund Advisory Firm Distributed Falsified Performance Results, Freezes Assets
May 27, 2014
CFTC Awards $240K to Whistleblower
May 22, 2014
O’Malia Calls on E.C. to Recognize U.S. Central Counterparties
May 20, 2014
FFIs Have Two Years to Comply with FATCA, Says IRS
May 20, 2014
Broker-dealers’ Disclosure Found Inconsistent
May 18, 2014
Gallagher Lashes Out at ‘Flawed’ OFR Report on Asset Management Industry
May 2, 2014
Central Banks’ Interest Rate Balancing Act Means Work for Advisers
May 1, 2014
SEC Assesses Firm $553K for Alleged Procedural Breakdown That Led to Overcharging Clients
Apr 30, 2014
FINRA Not Backing Off Adviser Oversight Quest Forever, IAA Says
Apr 24, 2014
OCIE Launching Cybersecurity Initiative Aimed at IAs, Broker-dealers
Apr 24, 2014
FINRA Not Backing Off Adviser Quest Oversight Forever, IAA Says
Apr 24, 2014
Investment Adviser Restores $340K+ to Pension Plans
Apr 24, 2014
SEC Asks How Security-based Swaps Recordkeeping Rule Would Affect Advisers
Apr 4, 2014
SEC Heeds Request for More Precise Proposal on Target Date Funds, so Reopens Comment Period
Mar 20, 2014
ABB Excessive Fees Ruling Affirmed, Fidelity Cleared of Float Interest Charge by 8th Circuit
Mar 19, 2014
How Do You Keep Your Client Data Safe? SEC Looking at Cybersecurity Standards
Mar 18, 2014
N.Y. Attorney General Calls on Exchanges, Regulators to Restrict High-frequency Trading
Mar 18, 2014
OCIE Director Warns About Hazards of Fees, Alternative Investments, Poor Supervision
Mar 18, 2014
DOL Proposes that 401(k) Service Providers Furnish Fee Guides
Mar 17, 2014
OCIE’s ‘Never-before-examined’ Initiative Will Likely Last Two Years
Mar 6, 2014
Implementation to Further Shape Volcker Rule, Says Federal Reserve Governor
Mar 6, 2014
OCIE ‘Never-before-examined’ Initiative Under Way
Mar 6, 2014
DOL, SEC Settle Pension Cross-trading Case with Western Asset Management for $21M
Feb 24, 2014
New Pact Gives Swaps Traders on European Platforms Flexibility on U.S. Swaps Rules
Feb 23, 2014
Treasury Is in Home Stretch of Implementing FATCA as Effective Date Approaches
Feb 4, 2014
IAA’s Executive Director to Step Down in 2015
Jan 29, 2014
SEC to Examine if Advisers Are Misleading Clients About Rollovers, Retirement Vehicles
Jan 29, 2014
SEC Eyes Adviser Due Diligence Processes In Selecting Alternative Investments
Jan 29, 2014
More Participants in Fidelity 401(k) File Suit Alleging Revenue-sharing Losses
Jan 29, 2014
JP Morgan Pays Record Penalty, Admits Violation of Bank Secrecy Act for Failed Madoff Oversight
Jan 29, 2014
OCIE Releases Exam Priorities List for 2014
Jan 15, 2014
SEC Postpones Municipal Advisor Registration Deadline
Dec 23, 2013
SEC Reports 'Record Year' for Enforcement
Dec 23, 2013
DOL OKs Summary Prospectuses for Plan Fiduciaries Under Prohibited Transaction Rules
Dec 23, 2013
Five Financial Regulators Issue Final ‘Volcker’ Rule
Dec 23, 2013
UK Fund Adviser and Former U.S. Parent Pay $9M To Settle SEC Asset Valuation Charges
Dec 5, 2013
High Court Ruling on ‘Stock-Drop’ Cases Could Make Company Stock Rare in 401(k)s
Nov 27, 2013
Final Municipal Advisor Registration Rule To Become Effective in January
Nov 27, 2013
Think You’re Not a Fiduciary? You Could Be Wrong
Nov 26, 2013
OECD and International Coordination of Bank Account Information-sharing Agreements
Nov 26, 2013
FATCA Requirements Closing in on Advisers, Funds
Nov 22, 2013
Investment Management Fees Rise As Plans Reduce Custodial Expenses
Nov 1, 2013
Government Shutdown Fallout: Rulemaking and Reporting Delays
Oct 31, 2013
Audit Asks DOL for More Guidance On Alternative Investments
Oct 31, 2013
FSOC Eyeing Riskiness of Asset Management Industry
Sep 30, 2013
‘Libor’ Settlements Adding Up
Sep 30, 2013
Financial Watchdogs Plan for Government Shutdown
Sep 27, 2013
Chase Chastened? ‘London Whale’ Settlements Exceed $920 Million
Sep 27, 2013
SEC Finalizes Municipal Advisor Registration Rule

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