Views on improving the integrity of global capital markets

SEC


SEC’s CEO-Worker Pay Ratio Rule: Is It a Mixed Bag for Investors?

The SEC has approved a rule that requires companies to compare CEO and average worker pay — the “pay ratio” rule. Will it be a useful tool for investors or simply a way to shame companies and their boards?

Vantage Points: Who Should Oversee Registered Investment Advisers? (Video)

Following recent legislative developments, the debate over whether to shift investment adviser oversight from the SEC to an SRO continues.

Labor Department Fiduciary Rule Proposal Takes Important First Step

CFA Institute urges a single standard of care from those who advise investors that honors client interests above all others.

SIFMA Best Interests Standard for Broker-Dealers: Right Words, Wrong Substance

SIFMA proposal clings to antiquated idea that product sales is reasonable substitute for quality investment advice.

DOL Unveils Fiduciary Rules: One Step Forward for Investors

Labor Department takes innovative approach by sidestepping many thorny issues that plagued earlier proposals, but questions remain.

Protecting Older Investors a Growing Concern of Firms and Regulators

Aging population and shift from employer to individually directed retirement plans have placed “senior” investors in the spotlight.

Fiduciary Faceoff: America’s Investment Industry at Critical Juncture

We have reached that inevitable point where we have to decide which is more important: the interests of our clients or our own narrow self-interests.

Insider Trading Standard Turned Inside Out by Federal Court Action

Although insider trading prosecution has a long history in the US, recent actions by the courts and Congress have thrown the SEC enforcement arm into a no man’s land.

Universal Proxy Ballot vs. Proxy Access: Which Leads to Better Board Accountability?

A universal proxy ballot is no replacement for more meaningful change to the current proxy system.

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.

Fiduciary Duty Debate: Salespeople Are Not Investment “Advisers”

It's time to remove ambiguity around “personal investment advice” while permitting different business and service models.

Proxy Access Moves from Back Burner: Will More Companies Embrace the GE Model? (Podcast)

Amid growing momentum to give shareholders the right to nominate director candidates on a company's ballot, Matt Orsagh, CFA, makes case for SEC “to take another look at proxy access.”

Balance in Public Company Audit Priorities Important to Investors

PCAOB should resist pressure from the SEC to shift its focus from important transparency projects.

Eaton Vance Makes the Cut, BlackRock Doesn’t: Taking Stock of SEC ETF Policy

The SEC’s rejection of BlackRock’s ETF application has raised questions about the future direction of this segment of the market.

Whole Foods Fallout? SEC Suspends ‘No Action’ Relief for Competing Proxy Access Proposals

In a surprise move, SEC reverses controversial December decision that allowed companies to exclude shareholder ballots that conflict with management’s own proposals.



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