Views on improving the integrity of global capital markets

Bob Dannhauser, CFA

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41 Posts

Biography

Bob Dannhauser, CFA, is head of global private wealth management at CFA Institute.

Author's Posts
“Naming and Shaming”: Canada’s Move to Call out Bad Actors Sets Investment Industry Example

Outside of the judicial system, we’re not so used to seeing reports of bad conduct in which firms and individuals are named. Given that investment management depends on a foundation of trust, practitioner reputations are indeed valuable and deserving of protection.

Nature versus Nurture: the Culture of Insider Trading

The Financial Times’ John Gapper raises the very interesting question of whether otherwise good people can justify unethical activity when “norms and expectations of the corporate elite are corrupt.” Bob Dannhauser, CFA, examines the culture of insider trading.

Has Financial Innovation Hurt or Helped Market Integrity?

Innovation has been a mixed bag for investors, according to an expert panel convened at the 65th CFA Institute Annual Conference in Chicago.

“Light Touch” Versus Highly Regulated Exchanges: Impact on Investors

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.

Message to G-20: Dodd-Frank Fragmentation Poses Systemic Threat

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.

Investment Industry: How to Earn Back Public’s Trust

In a recent CNBC guest blog post, CFA Institute President and CEO John Rogers, CFA, assesses Wall Street's trust problem and the potential for investment professionals to contribute value for their clients and for society.

Investors Get a Voice with SEC

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.

Bogle, Volcker Discuss State of U.S. Financial System

Hear what Vanguard founder Jack Bogle and former Federal Reserve Chairman Paul Volcker had to say about Volcker's namesake rule during the John Bogle Legacy Forum at the Museum of American Finance in New York.

CFA Institute Asset Manager Code: Coming to an RFP Near You

One consequence of recent well-publicized frauds targeting even the most sophisticated of investors (think Madoff, Stanford, et al) is a sharper focus on investor due diligence review of asset managers. The old “Three Ps” (people, process, performance) have given way to increasingly expansive investigations of investment capabilities and the character of firms’ principals.

CFA Institute Forecasts Bleak Global Market in 2012

CFA Institute members have weighed in, and the outlook for the coming year is far from optimistic. We’ve released the findings of the 2012 CFA Institute Global Market Sentiment Survey, an extension of the annual Financial… READ MORE ›

“Dim Sum” on the Financial Menu

News of the launch of an exchange-traded fund (ETF) that invests in so-called “dim sum” bonds (yuan-denominated bonds that are issued and traded outside of mainland China) marks an important step in the evolution… READ MORE ›

Umbrella or Broom? The New Role for International Regulators

A recent paper by Stefano Pagliari, presented at a Temple University workshop in May, uses an analysis of IOSCO’s changing role through the financial crisis as the basis for considering how international financial… READ MORE ›

U.S. Credit-Rating Downgrade — Do Investors Really Care?

The news from Standard & Poor’s on Friday evening reverberated during the weekend in financial and political circles throughout the world. Having decided that insufficient progress had been made in righting the substance and process of U.S. fiscal health,… READ MORE ›

CFA Charterholders to Credit Rating Firms: Vote of No Confidence

As it became clear last week that the U.S. fiscal crisis was reaching a boiling point in Washington, we issued a brief survey to the CFA Institute global membership. We wanted to find out more… READ MORE ›

Happy Anniversary: Dodd-Frank off to a Rocky Start

Tradition in many western countries has it that paper is the customary gift for the first wedding anniversary. Arguably the product of a shotgun wedding, Dodd-Frank now crawls to its one-year anniversary as the financial… READ MORE ›



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