Finders with the right contacts among investors can play useful roles in bridging funding gaps. Unfortunately, however, the world of finders also has a dark side of fraudsters, market manipulators, and bad actors. The SEC's proposed exemption fails to acknowledge this.
The final DOL rule is a substantive improvement over the widely opposed original proposal, but industry participants remain concerned about its chilling effect on ESG investing and factor integration, as well as about the integrity of the rulemaking process.
SEC Rule 13F is seeking to raise the asset threshold for investment managers to report their holdings rom $100 million to $3.5 billion.
We asked firms if they comply with the 2010 edition, the 2020 edition, or neither. The majority of firms (74%) still claim compliance with the 2010 new edition. Only 9% have adopted the 2020 edition.
Beware the nudge: Many people do not realize this, but we often are swayed in our decision-making processes by our emotions, the methods by which products or services are marketed to us, and the context of our current situation or surroundings. Nudges strategically and effectively make use of biases and mental shortcuts to influence behaviour and decisions while preserving freedom of choice.
A brokerage scandal in India led to an immediate reform which did not go through a consultation process. The resulting rules have had a significant unintended impact on client experience, which has varied across brokerages.
The CFA Institute report, Climate Change Analysis in the Investment Process, focuses on the physical and transition risks climate change is projected to create; explains to investors carbon markets; and reviews the resources available for investors looking for the best climate change integration tools.
CFA Institute say the total size of assets under management is not a sufficiently clear-cut measure to declare that an asset management firm could be systemic just as a bank would be by looking at its balance sheet assets.
The level of integration of EU capital markets is still insufficient to boost growth and investments across Europe, according to Marco Lamandini
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