Views on improving the integrity of global capital markets

Financial Regulation


Fiduciary Duty — CFA Institute Issues a Call for Action by SEC

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’s Shareholder Resolution Threshold May Squelch Activity

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 Have a “Wait and See” Attitude About Regulating Fintech

Regulators welcome developments in fintech, but it is less clear how the technology should be regulated and whether new regulations are even needed

Regulation in the United States: Too Much, Too Little, or Just Right?

CFA Institute survey results reveal that more than 50% of members who responded believe there is too much regulation in the US financial markets.

Changes in Financial Regulation in the Time of Trump: Financial Choice Act

Broad-based proposed legislation could bring wide-sweeping reforms to financial market regulation and undo Dodd–Frank and the DOL Fiduciary Rule.

Chinese Shadow Banking: Solution or Problem?

Although China held just 4% of global shadow-banking assets in 2013, Chinese investors worry about systemic risk.

Shadow Banking Set in Context: Unlocking Capital Markets or Migrating Risk?

What does shadow banking really mean, what does it look like, and what should policy makers care about?

Resource Constraints Test Financial Policy Makers Coping with “Regulatory Tsunami”

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.

Two Years after LIBOR Scandal: What Is State of Financial Benchmark Reform?

Need for meaningful reform was underscored recently when several banks were fined for rigging key foreign-exchange benchmarks.



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