Feeling the effects of far-flung regulation
‘Out of left field’ is an expression from baseball referring to the furthest throw to first base. Some of the best ideas come from...
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Regulation Archive
Australian group drafts guidelines for shareholder engagement
Ineffective meetings and proxy voting surprises could be sharply reduced in Australia, say a group of investors, companies and...
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Investors file 48 shareholder resolutions on lobbying disclosure
A group of institutional investors has filed shareholder resolutions with 48 US companies including Google, JPMorgan and Walmart...
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SEC to study role of proxy advisers, high-frequency traders and disclosure
The SEC will intensify its scrutiny of proxy advisory firms, update its technology to stay abreast of developments in areas such...
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New execution-only platform caters to Dutch retail investors
Dutch buy-side major ING Investment Management has launched FitVermogen, an online platform allowing retail investors to access...
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Largest EU banks to be banned from investing in hedge funds
The 30 or so largest banks in the European Union (EU) could be barred from proprietary trading or investing in hedge funds by 2018...
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BlackRock pulls analyst survey after Attorney General intervention
One of the world’s largest asset managers, BlackRock, has agreed to put an end to its global analyst survey program after the firm...
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Proposal calls for greater transparency in SEC settlements
A bipartisan proposal in the US Congress would force the SEC and other regulators to disclose all details of any settlement with...
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FINRA to scrutinize high frequency trading in 2014
The US Financial Industry Regulatory Authority (FINRA), the self-regulatory body of the country’s financial sector, will focus on...
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SEC seeks comprehensive review of disclosure rules
The SEC aims to launch a comprehensive study of its own disclosure rules to weed out redundant or ineffective regulations.The...
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