When an investment professional leaves a firm, this question inevitably arises: Are the individual’s social media profiles and connections personal or assets of the firm? Glenn Doggett, CFA, examines the issue. Read more
4 CommentsApril 2012
Bob Dannhauser, CFA, examines how a research paper on the London Stock Exchange informs the debate over balancing regulatory compliance costs with improved corporate governance and investor protections. 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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The current state of U.S. regulatory reform is an example of regulatory fragmentation that threatens the kind of coordinated response required to deal effectively with systemic risks.
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Following shareholders’ rebuff Citigroup’s play plan, Matt Orsagh, CFA, looks at what the Wall Street bank could have done differently. Read more
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Did Bank of America have a profit or loss in 2011? Finding the answer requires digging into the company’s financial reports. While the net income stares you down on the face of the income statement, the loss hides behind a curtain known as “comprehensive income.” But that is about to change. Read more
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Kurt Schacht, CFA, managing director of the Standards and Financial Market Integrity division at CFA Institute, has been selected to serve on the Investor Advisory Committee of the SEC.
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BATS Global Markets recently pulled the plug on its IPO after a computer malfunction caused a mini “flash crash.” Such technological glitches are not new, but they are becoming increasingly common. Rhodri Preece, CFA, examines the lessons we can learn from these events. Read more
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