Displaying items by tag: regulation

(Shanghai)

Central Bank Governor Yi Gang said that Chinese financial institutions will have to…see the full story on our partner Magnifi’s site

Published in Eq: Asia
Friday, 09 April 2021 14:26

Chinese Tech Stocks' Slip is an Opportunity

(Shanghai)

Chinese technology and financial regulation have been on the rise. And big tech companies such as…see the full story on our partner Magnifi’s site

Published in Eq: Asia
Thursday, 25 March 2021 16:59

Chinese Banking Experiences Unprecedented Rally

(Beijing)

The Chinese banking sector has a tighter leash with regulators than most all other countries. For the most part, this…See the full story on our partner Magnifi’s site.

Published in Eq: Asia
Wednesday, 06 January 2021 19:10

SEC May Make Big Changes to the Muni Market

(New York)

One of the big risks to the muni sector that has gone underappreciated by the financial media and investing community is the threat of the soon-to-be revamped SEC making some big changes to the asset class. The reason for concern is that Elad Roisman has just been appointed interim chief of the SEC. Roisman has long had a focus on transparency in fixed income markets, which he and others at the SEC feel is too opaque. This has raised the risk of new regulation in the space. That said, his short term before likely being replaced by Biden will limit his time frame to change any policy.


FINSUM: Roisman is a Republican and was previously chief counsel at NYSE Euronext, which gives him a very significant command of market structure. This would certainly equip him with the know-how to overhaul fixed income markets, but unless the Biden administration wants that to be a focus, it doesn’t seem he will have enough time. Bullet dodged or opportunity missed?

Published in Bonds: Munis
Tuesday, 17 September 2019 12:06

RIAs May Be Growing Too Fast

(New York)

RIAs have been growing at breakneck speed for years. Their growth rates are pretty much the envy of everyone else in finance. But to be honest, they may in fact be growing too fast. Take for instance the case of Creative Planning, a Kansas-based RIA that has tripled its client assets to $42 bn since 2016. Alongside the tremendous growth they have also seen trouble, such as an SEC fine for improper radio advertising and another less infraction. The bigger problem for RIAs is that their own internal systems for control, compliance, and governance may be quickly overwhelmed by the growth they are seeing.


FINSUM: RIAs who are growing organically are having trouble keeping up, but the ones growing through acquisition might have even more trouble, especially with keeping costs manageable considering all the overlap.

Published in Wealth Management
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