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
In September 2015 the European Commission launched the Capital Markets Union (CMU) Action Plan with the aim of creating alternative sources of financing, that is, sources other than banking. Almost three years later this project is still incomplete,… READ MORE ›
The EC’s Action Plan was one of the main discussion topics of the high-level conference, “The Future of Capital Markets in the EU: Towards Deeper Integration?,” organised by CFA Institute at the European Parliament in Brussels on 6 June 2018.
If the SEC adopts a rule as proposed, broker/dealers will no longer be able to use the term “adviser” or “advisor” in their names or titles when marketing themselves to investors.
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