Views on the integrity of global capital markets
In the second part of a month-long series exploring key systemic risk issues from the perspective of Paul Volcker and Sir John Vickers, we take a closer look at their views on progress in fixing regulatory gaps.
Read more
SEC commissioner and industry panel raises the question of whether existing U.S. disclosure rule on board diversity goes far enough. Read more
Leave a Comment In the second part of a month-long series exploring key systemic risk issues from the perspective of Paul Volcker and Sir John Vickers, we take a closer look at their views on progress in fixing regulatory gaps.
Read more
After months of delay, U.S. derivatives reform finally moved from back-burner status last week, when the Commodity Futures Trading Commission (CFTC) approved regulations aimed at forcing derivatives trading — and depending on the source, either a major culprit of or contributor to the financial crisis — out of the shadows. This means that many types of previously unregulated derivatives will now have to trade on open platforms. Read more
Leave a CommentJalil Tarif, secretary general at the Union for Arab Securities Authority, explains the challenges and opportunities facing securities regulators in Arab countries. Read more
Leave a Comment
Currently there are initiatives underway to create an overarching framework to improve financial statement disclosures. The “disclosure framework” is intended to help enable companies communicate more effectively with investors, eliminate redundancy, and move away from what some assert has become a compliance exercise. Read more
Leave a CommentThe inclusion of environmental, social, and governance (ESG) factors in the investment process is gaining more and more traction in global markets. Read more
Leave a Comment
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.
Read more
The 21 May JPMorgan annual meeting is fast approaching, and it will feature a contentious shareowner proposal that calls for the separation of chairman of the board and CEO roles. In this post we will take a look at the corporate governance issue that is dominating the headlines. Should a public company separate the role of chairman and CEO? Read more
8 Comments
I was at the Court of Final Appeal in Hong Kong on 30 April to witness the SFC win over Tiger Asia Management LLC in a landmark ruling. In dismissing Tiger Asia’s appeal, the court upheld the SFC’s right to seek remedial orders and injunctions in relation to the insider dealing case. Read more
Leave a Comment