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.
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Standards, Ethics & Regulations (SER)
159 Posts
Jalil Tarif, secretary general at the Union for Arab Securities Authority, explains the challenges and opportunities facing securities regulators in Arab countries. Read more
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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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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
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Retail investors may have been victims of another Madoff-style scam—this time with a Las Vegas-based company MRI International. There are signs that suggest the Japanese subsidiary of MRI International had sold around US $1.3 billion worth of investment products that were meant to provide income on U.S. medical fee receivables to Japanese retail investors. Read more
2 Comments Between British economist Sir John Vickers and former Federal Reserve Chair Paul Volcker, few people are more synonymous with the current debate over structural reforms of banks and reining in systemic risk. How do their approaches to reform differ? Read more
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From the state of corporate governance in Asia and integrated reporting globally to the United Kingdom’s launch of two new regulators in place of the Financial Services Authority (FSA), it’s time to span the corporate governance globe to review important developments from the month of April. Read more
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What do magicians and the black sheep among investment advisers have in common? Well, for the purpose of this blog, a lot. Both magicians and notorious investment advisers make their money by selling illusions. Read more
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During a speech at the RCA’s 2013 program on regulation, operations, and compliance, SEC commissioner Luis Aguilar highlighted the importance of compliance practices being developed and maintained in the interest of investors. Read more
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