Regulations alone cannot be expected to define the way investment professionals take care of their clients. Ethics and ethical decision making are essential.
For the second straight year, CFA Institute sponsored an open letter from 16 influential asset owners calling for asset managers to comply with the Asset Manager Code.
Financial Choice Act would require shareowners that want to file a resolution at a company’s annual meeting to hold 1% of a company’s shares for three years to do so. Categories: Standards, Ethics and Regulations
ESMA uses the existing rulebook to clarify the question of when systematic internalization activities cross over into functionally operating as a trading venue.
Restoring trust in financial services and markets is an immense task that requires many actors to play an active, ongoing role, particularly young people.
The public has spoken loudly that it is having trouble trusting businesses to do the right thing, especially when it comes to putting the public’s interests before their own.
The reasons behind possibly extending account alternatives to public companies are different from when those alternatives were extended to private companies, and they are not the right reasons.
No one really knows at this point what impact President-elect Trump or the cabinet that he puts together will have on the global economy, capital markets, or financial industry.
Regulators welcome developments in fintech, but it is less clear how the technology should be regulated and whether new regulations are even needed
The future of the DOL rule is somewhat uncertain, but the changes probably won’t happen fast and the rule may actually already be established. Categories: Fiduciary Duty; Standards, Ethics, and Regulations (SER)
Thorough, independent operational due diligence provides investors with a review of investment firms’ operational standards and the ethical conduct of its managers.
CFA Institute survey results reveal that more than 50% of members who responded believe there is too much regulation in the US financial markets.
FINRA’s Advertising Regulation Department is tasked with reviewing firms’ communications and faces challenges in keeping up with the changes social media has brought to the arena.
New SEC rules for money market funds, including changes in calculating NAV, that are designed to increase their stability go into effect on 14 October.
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