Views on improving the integrity of global capital markets

Jim Allen, CFA

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71 Posts

Biography

Jim Allen, CFA, is head of Americas capital markets policy at CFA Institute. The capital markets group develops and promotes capital markets positions, policies, and standards.

Author's Posts
SEC Investor Advisory Group to FASB: Materiality Is Material

In a strongly worded letter to the Financial Accounting Standards Board (FASB), the Investor Advisory Committee (IAC) at the US Securities and Exchange Commission objected to the Board’s proposals to “clarify” materiality, saying it would make matters worse for investors.

David Bowie’s Genius Pushed Bounds of Music and Finance

David Bowie a music and fashion icon, also blazed trails in finance.

Labor Fiduciary Rule Proposal Safe … for Now

Despite attempts to gut, or at least delay, the Labor Department’s fiduciary rule, other priorities ultimately ruled the day for Congressional opponents.

Congress Eyes FSOC Reforms: Funding, SIFIs in Crosshairs

Transparency around SIFI designations and FSOC funding has inspired legislation.

Bank Capital and Liquidity: Systemic Risk Council Tool Shows SIFIs’ Evolution Since 2007

Tool aims to boost transparency of financial operations and help investors to make informed decisions.

Assessing Systemic Risk of Asset Managers: No Need to Name SIFIs but Monitor Industry

Systemic risk overseers should keep a keen eye on all parts of the financial sector, asset management included.

DC Policy Update: Asset Managers and Systemic Risk, Congress’ Financial Policy Agenda (Podcast)

Do asset managers pose a systemic risk? Can we expect bipartisan efforts on financial policy issues? Jim Allen, CFA, offers his analysis.

Poll: How Much Time Should Investors Have to Disclose Concentrated Stock Positions?

Debate about when activist investors must disclose acquisition of at least 5% of an issuer's shares has raged since the takeover craze of the mid-1980s.

Cutting Through Politics: Why Financial Policy Advocacy Is So Important yet So Hard

It didn't take long after November's elections for the fireworks to reignite in Congress, especially in financial services matters.

Labor Department’s Pending Fiduciary Proposal Signals Tighter Broker Rules Ahead

Labor Department’s long-delayed proposal is the latest development in a long, winding path to raising investment advice standards.

What Republican Congress Likely Means for Capital Markets Policy

In light of Tuesday's midterm election results, we’ve made some predictions on what to expect in the Congress ahead.

Volcker Rule: Gauging Its Impact on Global Debt, Currency, Derivatives Markets

Have investors noticed any changes in liquidity as a result of the Volcker Rule?

Big Market Data: Finra Proposals to Bolster Dark Pool, Bond Market Transparency

Finra rules providing better view into the state of the markets are long overdue.

Investors to Public Companies: Disclose and Justify Political Contributions

As SEC weighs proposed political donation disclosure requirement, a CFA Institute survey finds support for such donations as long as public companies disclose them.



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