financial regulation
This report highlights the activities of the CFA Institute Capital Markets Policy Group located in the Washington, DC, and Charlottesville, VA, offices of the America’s division.
Despite its severity, this crisis also could represent an opportunity for regulators and financial institutions to set out measures to address inappropriate culture and behaviors, which were the factors precipitating the 2008 global financial crisis that remain present in markets today.
CFA Institute urges three approaches that will clarify that only registered investment advisers can provide personalized investment advice, as well as clarify the role of broker-dealers.
Fintech is forcing official policy makers to weigh the interests of consumers and corporations, while balancing the need for innovation and protection, in rewriting government rules and operating methods, Joshua Bateman, CAIA, CFA, reports.
Financial Choice Act would require shareowners that want to file a resolution at a company’s annual meeting to hold 1% of a company’s shares for three years to do so. Categories: Standards, Ethics and Regulations
Regulators should be alert to any emerging systemic risks encouraged by the implementation of MiFID II. Its problems may surface more quickly than the benefits, asserts Colin McLean, FSIP.
Regulators welcome developments in fintech, but it is less clear how the technology should be regulated and whether new regulations are even needed
CFA Institute survey results reveal that more than 50% of members who responded believe there is too much regulation in the US financial markets.
Broad-based proposed legislation could bring wide-sweeping reforms to financial market regulation and undo Dodd–Frank and the DOL Fiduciary Rule.
The “invisible hand” of the free market can hurt as well as help participants. The authors, who are Nobel Prize–winning economists, argue that as long as there is profit to be made, sellers will exploit our psychological and behavioral weaknesses through manipulation and deception.