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Regulation & Compliance

News

Slow Bleed From Low Bond Yields Drains Insurers' Returns

Low rates may prove a more enduring challenge than even MetLife Chief Executive Steve Kandarian’s fight against government regulation.

What's 'Hyperpersonalization?' Tapping Data

Jon Xu, chief technology officer and co-founder of FutureAdvisor, says the financial industry has only begun to tap the data available to it.

State Street Fundraiser Fights SEC Over Securities Fraud Charges

Robert Crowe, through his lawyers, is arguing the facts of his case should prevent the SEC from bringing charges of securities fraud against him.

Money Managers Avoid Brunt of Dodd-Frank Bonus Crackdown

Mutual and hedge fund managers dodged the toughest provisions of newly proposed U.S. pay rules designed to discourage excessive risk-taking on Wall Street.

Fiduciary Rule: Yes, RIAs Must Also Adapt

Advisors managing assets within retirement plan vehicles, including IRAs, will need to take a hard look at their own pricing and practices, because simply disclosing conflicts of interest is no longer good enough under the new rule.

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Articles

Driving Front-office Success Through Tech & Ops

While IT budgets at buy-side firms have not fully recovered from the cutbacks of the Great Recession, front-office demands keep growing in quantity, complexity and required speed of response.

BBH's Take On the New Order of Asset Servicing

During the crisis of 2008, service providers faced an environment in which they saw their clients' assets decline sharply.

Client Reporting, Risk Management Top Concerns for Operation Managers

Executives at mutual fund companies, asset management companies and support providers rated client reporting--which included any reporting that is created for the purpose of distribution to clients--as their top challenge followed closely by risk management in Money Management Executive's third annual Operations Survey.

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