With a new Administration comes fresh leadership at the Securities and Exchange Commission (SEC), the most important securities regulator on the world stage. We have a simple request, get us back on track for investor protection.
Korea’s wealth management industry is in a crisis of trust. To restore investor confidence, regulators, industry organizations, and financial institutions must work together to address the underlying causes of the problems.
The SEC is proposing major changes to the rules governing private markets to help young companies raise capital and to expand retail investor access to private markets. CFA Institute argues that the proposal would weaken investor protections and tip the balance yet further against public markets.
The SEC has proposed to amend the accredited investor definition, which could open the door for eventual recognition of the CFA® charter as a qualifying designation allowing them to participate in private markets.
Financial industries around the world thrive on an incentives-driven model, sometimes to the detriment of investors. This approach has created some issues in Australia. What are other countries doing to raise the level of investor protection?
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