Standards, Ethics & Regulations (SER)

169 Posts

Systemic Risk and the Investment Professional

US Securities and Exchange Commission

Is the money management profession a source of systemic risk? Do the investment flows that we intermediate contribute to financial fragility? Might asset management firms, like banks, be “too big to fail”? Robert Jenkins, FSIP, a member of the Board of Governors of CFA Institute and a senior fellow at Better Markets, urges investment professionals to stand up and speak out. Read more

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Poll: Little Support for Buffett’s Abstention from Coca-Cola Vote

Thomas Piketty’s popular new book, “Capital in the Twenty-First Century,” has struck a chord with the public in part because of a growing disenchantment with the generous compensation packages lavished on corporate executives, so it was not without irony that last week 83% of Coca-Cola’sshareholders approved a controversial equity compensation plan for approximately 6,500 employees that had been widely panned as excessive. Read more

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