The Alternative Investment Fund Managers Directive (AIFMD) regulates non-UCITS funds within the European Union, ensuring transparency, investor protection, and effective risk management.
The City Code on Takeovers and Mergers establishes a framework for equitable and transparent business practices in corporate takeovers and mergers.
The European Securities and Markets Authority (ESMA) is an independent European Union (EU) authority that contributes to safeguarding the stability of the EU’s financial system by enhancing investor protection and promoting stable and orderly financial markets.
A comprehensive guide to the Financial Industry Regulatory Authority (FINRA), including its historical context, roles, key events, and more.
An in-depth look at the Gower Report, its historical context, recommendations, impact on financial regulation, and its legacy in modern financial markets.
Comprehensive exploration of measures and regulations designed to safeguard investors from fraud and malpractice.
IOSCO, or the International Organization for Securities Commissions, plays a crucial role in developing and promoting global securities regulation standards to protect investors and ensure fair markets.
The Markets in Financial Instruments Directive (MiFID) is an EU directive providing a comprehensive regulatory regime for financial services and markets throughout the European Economic Area. It superseded the Investment Services Directive in November 2007, with the main aims of increasing competition and enhancing investor protection.
A comprehensive overview of the Markets in Financial Instruments Directive II (MiFID II), focusing on its significance, regulations, historical context, key elements, and impact on financial markets within the European Union.
An in-depth exploration of the legal and corporate governance frameworks designed to protect the interests and voting power of minority shareholders.
The PCAOB is a federal body that oversees the audits of public companies, aiming to protect investor interests and promote informative, accurate, and independent audit reports.
Comprehensive understanding of Public Reporting, focused on detailed financial reports, disclosures to the SEC, and compliance with regulatory standards for greater transparency and investor protection.
The Sarbanes-Oxley Act (SOX) is a U.S. federal law enacted in 2002 to enhance corporate responsibility, improve financial disclosures from corporations, and prevent accounting fraud. It introduced significant reforms to governance standards for U.S. public companies.
An in-depth examination of the Securities and Exchange Commission (SEC), its history, functions, and significance in financial markets.
An overview of SIPC, its role in protecting securities investments at brokerage firms, its historical context, and its significance in the financial industry.
State securities regulations are legal frameworks imposed by individual states in the United States to govern the sale and trading of securities. These regulations ensure investor protection, maintain market integrity, and facilitate fair and transparent securities markets.
Swing Pricing is a modification of forward pricing that adjusts the Net Asset Value (NAV) of a fund based on the volume of investor transactions to protect long-term investors and mitigate the impact of large inflows or outflows.
The Securities Investor Protection Corporation (SIPC) is a nonprofit organization designed to protect investors against the loss of cash and securities in case of a brokerage firm's failure.
An in-depth analysis of Blue Sky Laws, their significance in preventing securities fraud, and the regulatory mechanisms governing their implementation.
An in-depth exploration of churning in finance, including its definition, types, impact on clients, and regulatory considerations.
Explore the detailed definition, roles, and significance of the Financial Industry Regulatory Authority (FINRA), a nongovernmental organization that writes and enforces rules for brokers and broker-dealers.
A comprehensive guide to understanding hard call protection in callable bonds, including its definition, mechanism, significance, examples, and frequently asked questions.
A comprehensive exploration of lock-up agreements, including their definition, purpose, examples, and key insights for investors and companies.
An in-depth exploration of the NASAA, an organization of securities regulators dedicated to protecting investors from fraud and ensuring market integrity.
The Order Protection Rule is a regulatory policy designed to guarantee that investors receive the best available execution price for securities traded across multiple exchanges.
An in-depth exploration of the market manipulation strategy known as 'painting the tape,' including its definition, legality, examples, and impact on investors.
An in-depth exploration of the Sarbanes-Oxley Act of 2002, focusing on its provisions designed to protect investors from fraudulent financial reporting by corporations.
Comprehensive overview and detailed definition of the Securities and Exchange Commission (SEC), including its purpose, functions, and impact on the securities markets and investor protection.
An in-depth exploration of the Securities Exchange Act of 1934, its historical context, provisions, and lasting impact on the securities market.
A comprehensive overview of the Securities and Exchange Board of India (SEBI), the regulatory body that governs and regulates the securities markets in India to protect investors and ensure market efficiency.
A comprehensive examination of unsuitable investments, their implications, and how they fail to meet the objectives and means of investors.
