More rule changes to come warns SEC head
October 17, 2015
The US Securities and Exchange Commission (SEC) will continue to develop its regulatory framework to protect investors, SEC chair Mary Jo White said.
Luxembourg finance minister warns funds industry of more scrutiny as fintech threatens to disrupt sector
September 15, 2015
Investment funds are on the radar of the G20, the International Monetary Fund (IMF) and the Organisation for Economic Co-operation and Development (OECD). They will play a key role in the future vis-à-vis economic stability and in the world economy, said Luxembourg’s finance minister Pierre Gramegna.
FCA says financial firms must improve benchmark risk controls or face more scrutiny
August 24, 2015
Financial services firms must significantly improve their governance and controls of benchmark activities or face closer regulatory scrutiny, says the UK Financial Conduct Authority (FCA).
Commission sharing arrangements set to be curbed by cash payment proposal
May 19, 2015
Financial professionals would reduce their use of research obtained through commission sharing arrangements (CSAs) if they had to pay cash for it, according to an industry survey.
Hedge Fund Association warns SEC against raising investor net worth limits
October 7, 2014
Plans to raise minimum net worth requirements for accredited investors will damage business growth and not protect investors from making inappropriate investments, says the Hedge Fund Association (HFA).
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