Tag "SEC"
Equity crowdfunding puts new pressures on regulation
Crowdfunding has the potential to change the way businesses raise money, but it also raises complex questions for the SEC about how it approaches investor protection. With the prominence of
Forex scandal exposes difficulty of financial regulation
The latest foreign exchange fixing (forex) scandal, which led to a $4.3 billion bank settlement with American, British, and Swiss regulators reinforces the difficulties of effectively regulating the financial markets.
US credit rating reform comes up short
US legislators have proposed several reforms of the US credit rating system. Yet, incentives for credit agencies remain misaligned, while a new subprime market begins to grow. Financial regulation in
SEC implements ‘conflict mineral’ rule
The U.S. SEC’s ‘conflict mineral rule’ now requires companies to disclose their use of conflict minerals that originated in the Democratic Republic of the Congo (DRC) or an adjoining country. The rule
Financial firms still overexposed to climate risk
A report released earlier in March stressed the need to address high carbon risk in financial firms’ assets. Large institutional investors continue have continued to divest from fossil fuel stocks. A
