Practical analysis for investment professionals

Standards, Ethics & Regulations (SER)


The Roles of Corporate Governance in Bank Failures during the Recent Financial Crisis (Webcast)

Allen N. Berger of the University of South Carolina, will discuss his recent paper analyzing the role of corporate governance in bank defaults during the financial crisis of 2007–2010.

State of the Financial Services Industry (Video)

Paul Smith, CFA, managing director of the APAC region at CFA Institute, appeared on CNBC’s Squawk Box Tuesday to discuss new trends emerging in the financial services industry.

Book Review: Broken Markets

The authors point out some troubling aspects of the US stock market resulting from its radical transformation over the past 15 years, culminating in the Flash Crash and the unintended consequences of reforms meant to increase market competition. They propose a few very specific rule changes as remedies.

Dodd-Frank Extraterritoriality: OTC Derivatives Reform in Asia, Europe, and Beyond

Dodd-Frank includes provisions that could extend its reach extraterritorially to Asia, Europe, and beyond. Participants in the OTC derivatives market in these regions are assessing the potential cross-border compliance obligations.

Greg Smith: Whistle-Blower or Disgruntled Employee?

Greg Smith, a former executive director and vice president at Goldman Sachs, caused a stir this March when he resigned from the firm via an op-ed in the New York Times. Although… READ MORE ›

Don’t Sell Economic Stability to Buy Economic Growth, Warns Tomáš Sedláček

Tomáš Sedláček, chief macroeconomic strategist at CSOB Bank, believes that our problem is not lack of growth but too much of it. He stated, “It is like owning a car that explodes when it stops.”

Retaliation against Whistle-Blowers: No Good Deed Goes Unpunished

Whistle-blowers provide a real benefit to companies: Fraud costs a typical company about 5% of its revenues, and whistle-blowing is the single most common method of fraud detection. Recent studies show, however, that retaliation against whistle-blowers is on the rise.

The Case of Empresas la Polar: Encouraging Whistleblowers Can Serve a Firm’s Interest

The largest corporate fraud in Chilean history offers a cautionary tale not only about improper accounting and misleading financial statements but also about the importance of implementing an organizational culture that encourages employees to take action when they observe unethical behavior.

China Investment Corp.’s Gao Xiqing: Economy “Still on Right Track”

In a recent talk, the vice chairman and president of China’s sovereign wealth fund leveled two critiques of interest to those who have grown accustomed to frequent commentary about China’s opaque regulatory system and slow pace of financial liberalization. He also outlined a bullish case for China's economy.

Poll: At What Level Should the Basel Committee Set Its Minimum Leverage Ratio?

When the Basel III rules become operative in January, banks will have to meet a new leverage standard that will cap the leverage permitted under other Basel rules. In a poll conducted earlier this week, we asked readers at what level the Basel Committee on Banking supervision should set its minimum leverage ratio.



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