Thursday, October 23, 2014

SEC Proposes Framework for Fund Fees; Approves Adviser Disclosure Form Changes

The Securities and Exchange Commission July 21 unanimously proposed extensive changes to the framework for mutual fund distribution fees that would cap…

Small Banks Seen as Consolidating To Cope With Revamped Financial Rules

July 28, 2010 in Banking Report · Leave a Comment 

Although the recently enacted financial reform bill (Public Law No: 111-203) appears to be less burdensome on community banks than their…

Basel Committee Bends to Bank Pressure, Issues Modifications to Basel III

July 28, 2010 in Banking Report · Leave a Comment 

Bending to pressure from the world’s most powerful banks, the Basel Committee on Banking Supervision issues changes to its proposed…

Senate Legislation Would Bar Emissions Caps in Conference on House, Senate Oil Spill Bills

While Senate Democrats have abandoned hopes for passing a climate change bill this year, Sen. Michael Johanns (R-Neb.) introduced legislation July 27 to block proponents from using a procedural maneuver to…

Making the FTC Look Tame: The EU Targets Behavioral Profiling

Last month, Europe took a major step toward a notice and opt-in regulatory model for behavioral advertising…

House  Panel Eyes Two Legislative Privacy Approaches; FTC Doesn’t Endorse  Either

A data privacy legislative proposal by Rep. Rick Boucher (D-Va.) and a just-introduced competing consumer data protection bill introduced by…

SEC Proposes Framework for Fund Fees; Approves Adviser Disclosure Form Changes

The Securities and Exchange Commission July 21 unanimously proposed extensive changes to the framework for mutual fund distribution fees that would cap…

Obama Signs Reform Bill To Overhaul Regulation of Financial Markets

President Obama July 21 signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act, the most sweeping overhaul of…

House Subcommittee Approves Spending Bill, But Rejects Bid to Delay EPA Climate Rules

A House Appropriations subcommittee July 22 approved a fiscal year 2011 spending bill for the Environmental Protection Agency and other…

Fee Disclosure of Defined Contribution Plans: The State of Fiduciary Duties

Corporate governance events in the financial services industry over the last few years have caused plan sponsors to pay more attention to transparency and…

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