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CFA Institute works to advance and promote policies that serve investor protection over commercial interests. We support the creation and adoption of rules and regulatory standards that improve market structure, transparency, and fairness for all investors with the intent to expand investment industry professionalism.

You can find more posts on policy and regulation by browsing or searching ARX's repository of more than 3000 posts. Select "Research" in the upper left-hand corner of the page. 

Sales Inducements in Asia Pacific: A review of sales and distribution of mutual funds

The report examines regulations and practices regarding sales commissions and fees paid to financial advisers in Australia, Hong Kong SAR, India, and Singapore. It evaluates regulatory initiatives intended to reduce conflicts of interest and improve customer outcomes. 

25 November 2019 | Mary Leung, CFA; Sara Cheng, JD; Piotr Zembrowski, CFA | 3 CE

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ESG Disclosures in Asia Pacific

ESG disclosures by listed companies are an integral tool for investors who integrate ESG into their process. How are regulators and exchanges in Asia Pacific shaping their ESG disclosure regimes to meet investors' needs? 

2 August 2019 | CFA Institute  

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The End of LIBOR in 2021: How Prepared Are You?

LIBOR is the underlying interest rate used in various financial instruments and millions of contracts around the world. The transition away from it will be one of the most challenging transformation programmes faced by the finance industry. 

1 June 2019 | Justin Ong, CFA

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Leading Global Capital Markets Towards a New Era

This policy review on ESG reporting for corporates and investors in Hong Kong highlights the city's potential for channelling global capital into ESG assets and leveraging finance to catalyse sustainable development.

16 May 2019 | Our Hong Kong Foundation | 1 CE

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Professionalising Financial Advice

The Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry (Hayne Royal Commission) has exposed significant problems in the financial industry in Australia. These include advisers failing to act in the best interest of their clients, conflicted remuneration structures that lead to poor or inappropriate outcomes for clients, and an industry dominated by vertically integrated firms that puts the interests of the firms before those of their clients. As a result, the public has lost confidence in the industry and has little trust in it. It is imperative that the financial industry and other stakeholders, including government and regulatory authorities, take decisive, visible actions to restore public trust and confidence.

Following the Hayne Royal Commission, CFA Institute and CFA Societies Australia present policy recommendations on best interest duty, conflicted remuneration, independence of financial advice and the industry culture.

13 May 2019 | CFA Institute | 1.25 CE

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Investment Governance for Fiduciaries

The book offers fiduciaries ideas that may help them fulfil their duties to beneficiaries and other stakeholders. Asset consultants and investment managers may find it useful in establishing their credibility among fiduciaries and in pitching their services.

22 April 2019 | CFA Institute Research Foundation | 5 CE

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China Green Bond Market in 2018

The third annual China Green Bond Market 2018 report analyzes the key developments in the world’s second largest market, focusing on green bond issuance, policy development and wider market growth.

25 February 2019 | Climate Bonds Initiative | 0.5 CE

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Malaysian Banking Industry: Regulatory Landscape

Shifts in Malaysia’s economic priorities and structure will no doubt present a new set of challenges for the financial industry, and banks have to be ever-ready. What are the emerging risks and trends that financial institutions are facing today? 

1 January 2019 | Justin Ong, CFA | Deloitte

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Basel III: Post-crisis Reforms

In December 2017, the Basel Committee on Banking Supervision (BCBS) published the final revisions to the Basel III package of post-crisis reforms to global prudential bank standards. Deloitte presents a condensed overview of the proposed changes. 

1 January 2019 | Justin Ong, CFA | Deloitte

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Dual-Class Shares: The Good, The Bad, and The Ugly

Dual-class shares (DCS) are a relatively new development in APAC, even though their existence has generated much debate for over a century. Sometimes known as shares with weighted voting rights or unequal voting rights, DCS structures provide owners of certain share classes with superior voting rights, giving them voting control over a company that is disproportionate to their equity shareholding.

29 August 2018 | CFA Institute | 2 CE

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About the Author(s)

ARX Editorial Team

Director: Scott Lee
Content manager, Editor: Piotr Zembrowski, CFA
Coordinator: Natalie Yiu

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