![]() Exchanges, trading activities, and asset management are regulated from a market conduct perspective to prevent fraud, protect against market manipulation, and facilitate capital formation. The securities markets serve important functions in global economies: they provide liquidity and price discovery, they permit participants to raise capital and to allocate risk in an efficient way to meet their various tolerances, and they enable investors with opportunities create wealth to fund retirement and other goals.Īt the SEC, regulation generally focuses on requiring full disclosure of material information in order to protect investors and the integrity of the capital raising process. These considerations expose different views of regulation and expose pressure points worth exploring. Yet, the appropriate roles of securities regulation and prudential regulation, while highly complementary, serve very different purposes and are intended to achieve different outcomes. The securities markets and the banking sector are key pillars to our economies. regional banks, rising inflation and its economic effects, and the lingering effects of the pandemic, raise important considerations for policymakers that can reverberate around the world. Recent events, such as the failure of confidence in certain U.S.
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