Regulation and Compliance

Lead Content

Investment Governance for Fiduciaries (CFA Institute Research Foundation, 2019)

To say that the financial well-being of hundreds of millions of people around the globe rests on the performance of the tens of trillions of dollars held in funds with long-term investment…

Company:

CFA Institute Research Foundation

07 May 2019

Latest posts

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Professionalising Financial Advice in Australia (CFA Institute, 2019)

CFA Institute provides Policy Recommendations Following the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry in Australia.

UK Pensions: Current Issues (Hymans Robertson, May 2019)

Hymans Robertson presents their monthly update on the current regulatory environment for UK pensions.

TOP RECENT POSTS

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The shifting sands of wholesale (HSBC Global Asset Management, 2019)

MiFID II: One Year On (CFA Institute, 2019)

Asset Management (Paolo Vanini, 2019)

Global Monitoring Report on Non-Bank Financial Intermediation 2018 (FSB)

International Capital Markets, Quarterly Report (ICMA, Apr 2019)

Securities Lending Market Report (ISLA, 2019)

UK Asset Management Market Study - final rules and guidance (FCA, Feb 2019)

MiFID II/R and the bond markets: the first year (ICMA, Dec 2018)

Professionalising Financial Advice in Australia (CFA Institute, 2019)

UK Pensions: Current Issues (Hymans Robertson, May 2019)

A New Dawn for ABS (NNIP blog, May 2019)

Headline risks abound for not-for-profit hospitals, but credit performance remains solid (Eaton Vance blog, May 2019)

TOP NEWS AND BLOGS

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Tax-free pensions between Sweden and Portugal to stop (European Pensions, May 2019)

Switzerland approves tax and pension reform (European Pensions, May 2019)

Bayer bets on 'silver bullet' defense in Roundup litigation; experts see hurdles (Reuters, May 2019)

Monsanto must pay couple $2bn in largest verdict yet over cancer claims (The Guardian, May 2019)

UK banks fined €1bn by EU for rigging foreign exchange market (The Guardian, May 2019)

Volumes Rise In European Dark Pools

Twitter 2019 Proxy Voting Guide

Jury Rules in SEC’s Favor, Finds Brokerage Firm and Two of Its Executives Liable for Fraud

SEC Obtains Emergency Order Halting Alleged Diamond-Related ICO Scheme Targeting Hundreds of Investors

SEC and CFTC Participate in the Signing Ceremony for the IOSCO Enhanced Multilateral Memorandum of Understanding Concerning Cross-Border Enforcement

Monex MENA 2019 (Dubai) 15-16 Oct

15 Oct 2019 - 16 Oct 2019, Dubai

SIMAPRO 2019 (Madrid) 29-31 May

29 May 2019 - 31 May 2019, Madrid

Real Estate Joint Ventures Dealmakers Meeting (New York City) 12 Jun 2019

12 Jun 2019 - 12 Jun 2019, New York City

The Trading Show 2019 (London) 17 Oct

17 Oct 2019 - 17 Oct 2019, London