Financial Regulation
This report highlights the activities of the CFA Institute Capital Markets Policy Group located in the Washington, DC, and Charlottesville, VA, offices of the America’s division.
Despite its severity, this crisis also could represent an opportunity for regulators and financial institutions to set out measures to address inappropriate culture and behaviors, which were the factors precipitating the 2008 global financial crisis that remain present in markets today.
CFA Institute urges three approaches that will clarify that only registered investment advisers can provide personalized investment advice, as well as clarify the role of broker-dealers.
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
Regulators welcome developments in fintech, but it is less clear how the technology should be regulated and whether new regulations are even needed
CFA Institute survey results reveal that more than 50% of members who responded believe there is too much regulation in the US financial markets.
Broad-based proposed legislation could bring wide-sweeping reforms to financial market regulation and undo Dodd–Frank and the DOL Fiduciary Rule.
Although China held just 4% of global shadow-banking assets in 2013, Chinese investors worry about systemic risk.
What does shadow banking really mean, what does it look like, and what should policy makers care about?
Global regulators are grappling with a problem of unexpected size — not the number of technical standards they need to transcribe but something more palpable: the lack of manpower.
Need for meaningful reform was underscored recently when several banks were fined for rigging key foreign-exchange benchmarks.