Based on a recent CFA Institute Financial NewsBrief reader survey, investors appear to be fairly split on whether self-regulation serves a useful purpose in today’s securities and financial services marketplace.
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Linda is a director of capital markets policy for CFA Institute. She focuses primarily on issues related to investment products and investment regulation.
The issue of creating a uniform fiduciary standard of conduct for investment advisers and broker-dealers in the U.S. has been hotly debated in recent years, and the SEC is now seeking input for a potential uniform fiduciary standard of conduct. Read more
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At the recent CFA Institute Global Investment Risk Symposium, a panel of well-known experts discussed systemic risk and the current state of the industry and concluded that not all is well, yet. Read more
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With debate over the sequester fallout mainly focused on cuts to education, law enforcement, and transportation safety, another area is largely overlooked: the impact on the SEC and CFTC. Read more
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Discussions on whether certain banks remain “too-big-to-fail” now include whether these banks (and executives responsible for their actions) have also become “too-big-to-jail.” Read more
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Speakers at the University of Virginia’s Investing Conference presented mostly dire themes facing the US economy: extreme loss of confidence, the Central Bank assuming an unprecedented interventionist role, an overvalued bond market, and the far-reaching effects of uncertainty, among other topics. Read more
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At a recent conference hosted by the CFA Society of Washington, D.C., speakers and panelists discussed for more than six hours aspects of the Dodd-Frank Act — its controversial approaches, the voluminous regulations, and the overall potential effects on the marketplace. Read more
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With over $2.6 trillion invested in money market mutual funds (MMFs), talk about potential risks they present to investors and global economies has generated a lot of attention across the political spectrum.
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The new Systemic Risk Council (SRC) has thrown down the gauntlet, calling on U.S. regulators to step up addressing the forces that caused the market collapse four years ago and continue to threaten the world financial marketplace. Read more
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After being housed in the SEC’s oversight regime for more than 60 years, investment advisers currently registered with the SEC now face uncertainly about where oversight ultimately will reside. Whether FINRA, a new self-regulatory organization, or the SEC will oversee advisers has ignited sparks throughout industry groups. Read more
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