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Regulation & Compliance

News

SEC Doesn't 'Like' Facebook

Will the recent SEC alert chill the use of social media by asset management firms? Or simply put it on ice?

Fund Transfer Instructions Being Faked, FINRA Says

Investors are to guard against a two-step process where “fraudsters” gain access to their email accounts and then instruct the firms involved to transfer money out of their brokerage accounts.

'Offshore Shams' Abet Mutual Fund Speculation in Commodities, Senator Says

The head of the Senate Permanent Subcommittee on Investigations called Thursday for an end to private letter rulings from the Internal Revenue Service which have “essentially opened the floodgates” for mutual funds to speculate in commodities from offshore tax havens such as the Cayman Islands.

Regulators: We Don't Have All the Answers on Volcker Rule

Republican opponents of the plan expressed fears that the measure will restrict liquidity in financial markets and ultimately will hurt economic growth.

SEC Fines UBS $300K for Fund Pricing Violations

The SEC said UBS overstated the value of $22 million in mortgage-backed securities held in three mutual funds.

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Articles

Regulators: We Don't Have All The Answers On Volcker

The regulators charged with implementing the Volcker Rule have posed 1,300 questions to the public, but on Wednesday, at a House subcommittee hearing, they fielded one query they seemingly hadn't considered.

Volcker Political Football: It's Just Starting

Debate on Capitol Hill over the Volcker Rule is just starting to heat up.

Full Disclosure

The SEC is now concerned with disclosure of banks' EU exposure - and banks are pushing back.

Advisors Do The SEC-State Registration Switch

Confusion is likely to ensure in the registration of mid-sized investment advisors with states instead of the SEC.

CSI: Outsized Returns

The SEC's new focus on returns will help it, in the words of Deep Throat ... "Follow the Money."

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