Standards, Ethics and Regulations (SER)
The US SEC’s withdrawal of proposed amendments to Rule 14a-8 halts efforts to strengthen shareholder proposal rights. The move reflects broader deregulation trends, raising questions about investor voice, corporate accountability, and governance balance.
The US SEC’s pause on key rules for cyber governance, swaps transparency, and Reg SCI marks a shift toward lighter oversight. The retreat reduces compliance burdens but heightens investor risk and uncertainty around market transparency and resilience.
Global deregulation is reshaping financial markets as the US, UK, and EU pursue lighter regulation to boost growth. CFA Institute warns that efficiency gains must not come at the expense of investor protection and market stability.
Retail investors in India’s derivatives market face heavy losses amid rising speculation, finfluencer advice risks, and increased regulatory scrutiny. CFA Institute urges stronger oversight, education, and focus on market integrity.
How Solvency II reforms may reshape EU insurers’ capital use, freeing funds for long-term investment while testing supervisory resilience.
Explore insights on UK crypto regulation, market structure, investor protections, and CFA Institute’s policy recommendations for a safer digital future.
EU reforms aim to revive securitization markets—explore how regulatory changes could unlock capital and reshape Europe’s financial system.
This survey offers a rare window into how asset owners around the world are approaching performance reporting, benchmarking, and GIPS® compliance.
CFA Institute and CFA Society Hong Kong respond to HKEX’s IPO reform proposals, highlighting key risks and opportunities for market transparency and fairness.
Tariffs are real, recurring costs and should remain in reported results. It’s up to investors, not companies, to decide whether to adjust for them.
In this post, we provide an overview of the Hong Kong Exchanges and Clearing Limited's corporate governance enhancements, explore their potential implications, and share our perspectives on the reform.
Learn how market volatility can distort carbon metric comparisons over time, complicate medium-term target setting, and create additional reporting challenges.
The use of AI technology in the investment management process and client communications holds many ethical dimensions. This is the second part of a case study through the lens of CFA Institute's Code of Ethics and Standards of Professional Conduct.
Can you identify the ethical issues that arise in this specific use case of AI in the investment management process and related client communications?
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