Regulation and Compliance

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Investment Strategy Insights: China’s course correction toward a ‘common prosperity’ (PineBridge Investments, Sep 2021)

In the wake of the 100th anniversary of the founding of the Chinese Communist Party (CCP), the nation has sprung into rapid-fire regulatory tightening reminiscent of the 2014-2015 supply-side…

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PineBridge Investments

09 Sep 2021

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Investors Looking for Tax Transparency Against Backdrop of Landmark Global Reforms (FTSE Russell blog, Oct 2021)

Earlier this month, the world’s leading economies inked a historic deal to rewrite the rule book on taxation. The deal, signed by 136 nations including all G20 countries, will introduce a global…

Cleaning Up: Transforming finance for a net zero world (Aviva Investors, 2021)

To align with net-zero emissions targets, the financial system needs a radical transformation. Can it get there and, if it does, what should it look like by 2050?

TOP RECENT POSTS

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Covid-19: One year later – Capital markets in uncharted waters (CFA Institute, Jul 2021)

Asset Allocation Implications of U.S. Life Insurance RBC Changes (MetLife Investment Management, Aug 2021)

The Emerging Asian Capital Markets: Challenges and opportunities (CFA Institute Research Foundation, 2021)

Thoughts on China Opportunities From an Active Risk Management Perspective (MFS IM, Sep 2021)

Potential Impacts of Proposed Risk-Based Capital Factors (S&P Dow Jones Indices, 2021)

Cleaning Up: Transforming finance for a net zero world (Aviva Investors, 2021)

Sustainable Investment: 2021 global survey (FTSE Russell, Oct 2021)

Regulatory shifts in China (Aviva Investors, Oct 2021)

MiFID II/MiFIR Review Report on Algorithmic Trading (ESMA, 2021)

Webinar: China equity market update (UBS AM, Oct 2021)

When Assets 'Disappear', Climate Risk and ESG Data Needs Remain (Enterprising Investor blog, Sep 2021)

On the Trading Desk 23 Sep 2021: The delisting of Chinese stocks and its implications (Wells Fargo AM blog)

TOP NEWS AND BLOGS

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Younger investors are treating crypto trading like a 'competition' with their friends, UK regulator says

FCA to warn younger investors off cryptos and other high-risk products

UK financial watchdog chair to step down amid FCA turmoil

Facebook crisis grows as new whistleblower and leaked documents shed light on failings

SEC Staff Releases Report on Equity and Options Market Structure Conditions in Early 2021

SEC Modernizes Filing Fee Disclosure and Payment Methods

SEC Awards $40 Million to Two Whistleblowers

SEC Reopens Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation

Credit Suisse fined £350m over Mozambique ‘tuna bonds’ loan scandal

Credit Suisse to Pay Nearly $475 Million to U.S. and U.K. Authorities to Resolve Charges in Connection with Mozambican Bond Offerings