Regulation

The 401(k) reform bills that have been brewing in Washington for the past year will likely be tabled until the 2003 session of Congress.

Firms Scramble Ahead of SEC Decision to Comply With Law

Proxying fund shareholders is often seen as a necessary evil in order to make significant changes to a fund, or, in some cases, liquidate it.

With shareholder activism and corporate governance such a hot topic lately, MFMN set out to discover what's driving shareholder proxies these days, and what kind of response rates they're getting.

When former President Bill Clinton signed the Electronic Signatures in Global and National Commerce Act in April 2000, there was wide speculation that e-signatures would transform not just financial services but e-commerce as well.

Diplomat. Detective. Politician. Strategist. Entertainer. Financier. Referee.

An industry as competitive and highly regulated as the mutual fund industry could not possibly slip one by investors, right?

The bear market, a steep decline in mutual fund and variable annuity sales and the strain of product guarantees, will result in widespread downgrades at life insurance and annuity companies, all of the major ratings agencies have announced,

PALM DESERT, Calif. - There's no question that the Securities and Exchange Commission has left the mutual fund industry a little confused lately.

PALM DESERT, Calif. - Ensuring that fund companies are complying with provisions of new anti-corporate fraud legislation will be at the top of the Securities and Exchange Commission's agenda for regulating fund companies in 2003, an SEC official said late last month.