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Regulation & Compliance


Want a Piece of This Tiny Italian Mid-Cap ETF? Get in Line

The Lyxor FTSE Italia Mid Cap PIR ETF is the only one compliant with a new Italian law that offers tax breaks for certain investment plans.

Understanding Liquidity Risk Management Programs

Most funds will have until December to comply with the SEC’s new rules, while complexes with more than $1 billion in net assets have until 2019.

At ICI Event, SEC Compliance Tops DoL Rule

As executives accept Trump's fiduciary rule delay, many have shifted their focus to compliance with the SEC's new reporting modernization regulation.

Advisers Split on Morningstar's New Mutual Funds

The research giant says it aims to lower costs by removing a layer of fees paid to third-party managers.

Winklevoss Bitcoin ETF Proposal Denial Deals Blow to Digital Currency

The SEC decision ended a months-long rally that pushed the virtual money’s value higher than gold.