Views on improving the integrity of global capital markets

Padma Venkat, CFA

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16 Posts


Padma Venkat, CFA, is former director of capital markets policy at CFA Institute. She is responsible for promoting CFA Institute standards, policies, and positions in the Asia-Pacific region.

Author's Posts
Institutional Investors Reject Tata Motors Pay Resolutions: Is Tide Changing in India?

Corporate governance reforms are fueling an unprecedented wave of shareholder activism in India.

Exercise Your Rights: A Guide to Educate, Empower Indian Investors

CFA Institute and Indian Association of Investment Professionals release guide to help investors exercise rights at shareholder meetings.

Corporate Governance Reform in India: Gauging Impact on Investors

Will these new measures bring much-needed relief to minority shareholders, or is it just old wine in a new bottle?

Institutional Investors: What Is Their Role as Owners of Public Companies?

The OECD recently released a corporate governance working paper on “Institutional Investors as Owners: Who Are They and What Do They Do?” The paper has been written from a public policy perspective and considers the role of ownership engagement in effective capital allocation and monitoring of corporate performance.

Non-Preemptive Share Issues in Asia: Reforming Rules to Protect Investors

CFA Institute report examines whether minority shareowners’ interests are being unduly diluted in Asia.

Mis-selling of Financial Products: How Are Investors Protected in Today’s Marketplace?

Need to address product suitability and fair treatment in reforms aimed at protecting unsophisticated investors.

Hong Kong Tiger Asia Case: Are Insider Traders Losing Their Stripes?

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.

What Is the Future of Financial Exchanges? (Video)

“While exchanges have a responsibility to provide fair and equal access to all market participants without violating public interest responsibility, they are dependent on a responsible financial ecosystem of lawyers, consultants, advisers, accountants, and managers of listed companies to avoid fraud by listed companies,” TMX Group CEO Thomas Kloet said recently at a program on “The Future of Exchanges.”

Mis-selling and Investor Protection in Asia Pacific (Video)

At the recent “Mis-selling of Financial Products: Investor Rights and Protection Forum” in Hong Kong, regulatory experts, lawyers, and investment professionals discussed the scope and limitations of recent regulations and measures, addressing investor rights and responsibilities.

India and Singapore Regulators Fill Ethics Void with Strict Financial Rules

Regulators are stepping in to fill the ethical void. Indeed, the Monetary Authority of Singapore (MAS) and Stock Exchange Board of India (SEBI) have resorted to strict rules to regulate the behavior of financial professionals and investment advisers. Singapore’s Financial Advisory Industry Review (FAIR) Panel report was released on 16 January while SEBI recently published new Investment Advisers Regulations.

Indian Regulators Tackle Corporate Governance Reforms in the New Year

Regulators including the Stock Exchange Board of India (SEBI) and Reserve Bank of India (RBI) have set themselves on a fast pace of reforms to improve corporate governance practices.

“Front-Running” in India Challenges Regulators

In an interesting turn of events, the Securities and Exchange Board of India (SEBI) has announced that it needs to review its regulations that deal with front-running.

Asian Corporate Boards: Increase Lens Power to See Unknown Risks

The spate of financial scandals across the globe in recent years has caused a tectonic shift in corporate board accountability for better oversight and risk governance processes to identify and manage risk. Padma Venkat, CFA, examines recent developments in Asia.

Déjà vu: South Korean Banking Crisis Hits Again

South Korean bankers are in the spotlight again, and for reasons similar to the 1997 banking crisis. What happened to the lessons learned from the banking closures, restructuring, and bailouts more than a decade ago?

Regulatory Spotlight on Independent Directors in India

Indian’s economic journey may best be described as “Capindialism,” in which profits are controlled not by institutional shareholders but mainly by the state and /or by entrepreneurs and their descendants. This, coupled with the country’s rapid economic growth, has created a plethora of unusual problems for regulators there.

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