Views on improving the integrity of global capital markets


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.

CFA Institute: Learn from SEC’s CAT Before Building FINRA’s CARDS

FINRA’s investor protection motivations are certainly laudable, but CFA Institute recommends implementation of the SEC’s CAT system, which is further along, before FINRA’s CARDS system.

Self-Regulation in the Financial Markets

A distinguished roster of regulators, practitioners, and legal scholars gathered recently in Washington DC to assess the state of self-regulation. Here are some key takeaways from the event.

Top 10 Characteristics of Effective Self-Regulatory Organizations

In an environment where investor trust is low, self-regulatory organizations can play an important role in supporting a more sustainable financial system.

Self-Regulation of the Securities Markets: Help or Hindrance?

Despite criticism that SROs have too many flaws to be trusted, they still play an important role to play in financial markets.

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