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Investment Banking Areas Explained: Capital Markets
 
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Capital markets are one of the most fascinating areas of investment banking. Companies need these services when they are about to go public or want to issue debt sold to the public. When a company wants to raise equity, we talk about ECM, standing for Equity Capital Markets, and when it wants to raise debt, we talk about DCM, standing for Debt Capital Markets. On Facebook: https://www.facebook.com/365careers/ On the web: http://www.365careers.com/ On Twitter: https://twitter.com/365careers Subscribe to our channel: https://www.youtube.com/365careers
Views: 112695 365 Careers
Should Securities Markets Be Transparent? Financial Markets, Trading & Regulation (2009)
 
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Public securities markets are either primary or secondary markets. In the primary market, the money for the securities is received by the issuer of the securities from investors, typically in an initial public offering (IPO). In the secondary market, the securities are simply assets held by one investor selling them to another investor, with the money going from one investor to the other. An initial public offering is when a company issues public stock newly to investors, called an "IPO" for short. A company can later issue more new shares, or issue shares that have been previously registered in a shelf registration. These later new issues are also sold in the primary market, but they are not considered to be an IPO but are often called a "secondary offering". Issuers usually retain investment banks to assist them in administering the IPO, obtaining SEC (or other regulatory body) approval of the offering filing, and selling the new issue. When the investment bank buys the entire new issue from the issuer at a discount to resell it at a markup, it is called a firm commitment underwriting. However, if the investment bank considers the risk too great for an underwriting, it may only assent to a best effort agreement, where the investment bank will simply do its best to sell the new issue. For the primary market to thrive, there must be a secondary market, or aftermarket that provides liquidity for the investment security—where holders of securities can sell them to other investors for cash. Otherwise, few people would purchase primary issues, and, thus, companies and governments would be restricted in raising equity capital (money) for their operations. Organized exchanges constitute the main secondary markets. Many smaller issues and most debt securities trade in the decentralized, dealer-based over-the-counter markets. In Europe, the principal trade organization for securities dealers is the International Capital Market Association.[2] In the U.S., the principal trade organization for securities dealers is the Securities Industry and Financial Markets Association,[3] which is the result of the merger of the Securities Industry Association and the Bond Market Association. The Financial Information Services Division of the Software and Information Industry Association (FISD/SIIA)[4] represents a round-table of market data industry firms, referring to them as Consumers, Exchanges, and Vendors. In India the equivalent organisation is the securities exchange board of India (SEBI). In the primary markets, securities may be offered to the public in a public offer. Alternatively, they may be offered privately to a limited number of qualified persons in a private placement. Sometimes a combination of the two is used. The distinction between the two is important to securities regulation and company law. Privately placed securities are not publicly tradable and may only be bought and sold by sophisticated qualified investors. As a result, the secondary market is not nearly as liquid as it is for public (registered) securities. Another category, sovereign bonds, is generally sold by auction to a specialized class of dealers. Securities are often listed in a stock exchange, an organized and officially recognized market on which securities can be bought and sold. Issuers may seek listings for their securities to attract investors, by ensuring there is a liquid and regulated market that investors can buy and sell securities in. Growth in informal electronic trading systems has challenged the traditional business of stock exchanges. Large volumes of securities are also bought and sold "over the counter" (OTC). OTC dealing involves buyers and sellers dealing with each other by telephone or electronically on the basis of prices that are displayed electronically, usually by commercial information vendors such as SuperDerivatives, Reuters and Bloomberg. There are also eurosecurities, which are securities that are issued outside their domestic market into more than one jurisdiction. They are generally listed on the Luxembourg Stock Exchange or admitted to listing in London. The reasons for listing eurobonds include regulatory and tax considerations, as well as the investment restrictions. London is the centre of the eurosecurities markets. There was a huge rise in the eurosecurities market in London in the early 1980s. Settlement of trades in eurosecurities is currently effected through two European computerized clearing/depositories called Euroclear (in Belgium) and Clearstream (formerly Cedelbank) in Luxembourg. The main market for Eurobonds is the EuroMTS, owned by Borsa Italiana and Euronext. There are ramp up market in Emergent countries, but it is growing slowly. http://en.wikipedia.org/wiki/Securities
Views: 2934 The Film Archives
Types of Financial Markets - Money Market, Capital Market, Currency Markets
 
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Types of Financial Markets - Money Market, Capital Market, Currency Markets. A video covering Types of Financial Markets - Money Market, Capital Market, Currency Markets Twitter: https://twitter.com/econplusdal Facebook: https://www.facebook.com/EconplusDal-1651992015061685/?ref=aymt_homepage_panel
Views: 55788 EconplusDal
Disclosure and Due Diligence in the International Capital Markets
 
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BOOK REVIEW DISCLOSURE AND DUE DILIGENCE IN THE INTERNATIONAL CAPITAL MARKETS By Roger Wedderburn-Day ISBN: 978 1 84661 959 5 JORDANS PUBLISHING LIMITED www.jordanpublishing.co.uk A PRACTICAL GUIDE TO THE INDISPENSABLE SKILL OF WRITING GOOD DISCLOSURE An appreciation by Phillip Taylor MBE and Elizabeth Taylor of Richmond Green Chambers In an increasingly regulated financial services environment, the recent publication of this book from Jordan’s is timely. Its focus on disclosure and due diligence will benefit any number of lawyers -- and indeed all financial advisers -- charged with making sure their clients avoid the pitfalls and penalties of inadequate disclosure in relation to offerings of debt and equity securities in international capital markets. The aim of due diligence is of course to ensure that an offering document is as accurate and complete as possible, with a view to avoiding possible claims of negligence or misstatement. If you are a practitioner -- or investment banker perhaps -- you may be required to write such a document, or draft it, or review it, or comment on it while it is in draft form. If so, this detailed, erudite and eminently readable book, offers practical guidance in how to do it. The author is Roger Wedderburn-Day, a partner at Allen & Overy and an acknowledged expert in writing disclosure, with some thirty years of experience in the art. ‘The ability to write good disclosure is now an indispensable skill,’ he says, ‘for a lawyer who practices in the international debt or equity capital markets.’ For those who may be somewhat confused about the relevant nomenclature, the author explains that the offering document may be described variously as an offering circular, or an information or offering memorandum… or (perhaps the most commonly understood term), a ‘prospectus’, provided that the document complies with the Prospectus Directive. The book is divided in four parts to include: (1) disclosure; (2) regulatory requirements relating to disclosure; (3) due diligence… and (4) potential liability, which covers such issues as tortious liability and deceit. Then there’s the book’s appendix: the ‘Financial Due Diligence Questionnaire’ -- eight pages worthy of intensive study, we would say. It not only covers questions relating to financial performance, but (in italics following each question) the principal reasons why each question should be asked. For example, and just for starters -- ‘the issuer’s past results’ and ‘the principal revenue drivers’ are scrutinised at the outset. This authoritative volume of over three-hundred pages also provides the keen researcher with tables of cases, statutes, statutory instruments and European legislation. The extensive footnoting contains any number of references and for ease of use, the paragraphs are numbered throughout. This is one of those rare books on law which places a high priority on clarity of expression and explanation; ‘…the book I wish I could have read at the start of my career,’ remarks the author. What an advantage then, for any lawyer in any stage of a career to have this book to hand as an aid to clarifying and simplifying what is actually a complex subject. The publication date is cited as at May 2014.
Views: 140 Phillip Taylor
21. Exchanges, Brokers, Dealers, Clearinghouses
 
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Financial Markets (2011) (ECON 252) As the starting point for this lecture, Professor Shiller contrasts the view of economics as the theory of the allocation of scarce resources with the view of economics as the study of exchange. After a discussion of the difference between brokers and dealers, he outlines the history of securities exchanges from ancient Rome, to the Amsterdam Stock Exchange and Jonathan's Coffee House in London, until the formation of the New York Stock Exchange. He complements this historic account with an overview of securities exchanges all over the world, covering India, China, Brazil, and Mexico. An example of a limit order book allows him to elaborate on the mechanics of trading at the National Association of Securities Dealers Automatic Quotation System (NASDAQ). Subsequently, he turns his attention to the growing importance of program trading and high frequency trading, but also discusses their impact on the stock market crash from October 19, 1987, as well as on the Flash Crash from May 6, 2010. When talking about fairness in financial markets, particularly with regard to the relation between private investors and brokers, he discusses the National Market System (NMS), the Intermarket Trading System (ITS), and consolidated quotation systems. He concludes this lecture with some reflections on the operations of dealers, addressing the role of inside information and the Gambler's Ruin problem. 00:00 - Chapter 1. Exchange as the Key Component of Economic Activity 05:50 - Chapter 2. Brokers vs. Dealers 12:25 - Chapter 3. History of Stock Exchanges around the World 24:28 - Chapter 4. Market Orders, Limit Orders, and Stop Orders 36:15 - Chapter 5. The Growing Importance of Electronic Trading 44:46 - Chapter 6. Instabilities Related to High Frequency Trading 59:14 - Chapter 7. The Frustrations as Trading as a Dealer Complete course materials are available at the Yale Online website: online.yale.edu This course was recorded in Spring 2011.
Views: 70031 YaleCourses
Wasting a Crisis: Why Securities Regulation Fails featuring Paul Mahoney
 
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View the full event here: http://www.cato.org/events/wasting-crisis-why-securities-regulation-fails Comparable to the New Deal in both scope and scale, the 2,300 Dodd-Frank Act of 2010 also shared reforms with the assumption that the cause of financial crisis was misbehavior by market participants. Paul Mahoney is the Dean of the Virginia School of Law. In his new book, Wasting a Crisis, Mahoney outlines narratives formulated by political actors hoping to deflect blame from prior policy errors. He offers his analysis at a Cato Institute event in May. Subscribe to our channel: http://www.youtube.com/subscription_center?add_user=catoinstitutevideo
Views: 636 The Cato Institute
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
 
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Within the SEC, there are five divisions. Headquartered in Washington, D.C., the SEC has 11 regional offices throughout the US. The SEC's divisions are:[10] Corporation Finance Trading and Markets Investment Management Enforcement Economic and Risk Analysis Corporation Finance is the division that oversees the disclosure made by public companies, as well as the registration of transactions, such as mergers, made by companies. The division is also responsible for operating EDGAR. The Trading and Markets division oversees self-regulatory organizations such as the Financial Industry Regulatory Authority (FINRA) and Municipal Securities Rulemaking Board (MSRB) and all broker-dealer firms and investment houses. This division also interprets proposed changes to regulations and monitors operations of the industry. In practice, the SEC delegates most of its enforcement and rulemaking authority to FINRA. In fact, all trading firms not regulated by other SROs must register as a member of FINRA. Individuals trading securities must pass exams administered by FINRA to become registered representatives.[11][12] The Investment Management Division oversees registered investment companies, which include mutual funds, as well as registered investment advisors. These entities are subject to extensive regulation under various federals securities laws.[13] The Division of Investment Management administers various federal securities laws, in particular the Investment Company Act of 1940 and Investment Advisers Act of 1940. This division's responsibilities include:[14] assisting the Commission in interpreting laws and regulations for the public and SEC inspection and enforcement staff; responding to no-action requests and requests for exemptive relief; reviewing investment company and investment adviser filings; assisting the Commission in enforcement matters involving investment companies and advisers; and advising the Commission on adapting SEC rules to new circumstances. The Enforcement Division works with the other three divisions, and other Commission offices, to investigate violations of the securities laws and regulations and to bring actions against alleged violators. The SEC generally conducts investigations in private. The SEC's staff may seek voluntary production of documents and testimony, or may seek a formal order of investigation from the SEC, which allows the staff to compel the production of documents and witness testimony. The SEC can bring a civil action in a U.S. District Court, or an administrative proceeding which is heard by an independent administrative law judge (ALJ). The SEC does not have criminal authority, but may refer matters to state and federal prosecutors. The director of the SEC's Enforcement Division Robert Khuzami left the office in February 2013.[15] Among the SEC's offices are: The Office of General Counsel, which acts as the agency's "lawyer" before federal appellate courts and provides legal advice to the Commission and other SEC divisions and offices; The Office of the Chief Accountant, which establishes and enforces accounting and auditing policies set by the SEC. This office has played a role in such areas as working with the Financial Accounting Standards Board to develop Generally Accepted Accounting Principles, the Public Company Accounting Oversight Board in developing audit requirements, and the International Accounting Standards Board in advancing the development of International Financial Reporting Standards; The Office of Compliance, Inspections and Examinations, which inspects broker-dealers, stock exchanges, credit rating agencies, registered investment companies, including both closed-end and open-end (mutual funds) investment companies, money funds. and Registered Investment Advisors; The Office of International Affairs, which represents the SEC abroad and which negotiates international enforcement information-sharing agreements, develops the SEC's international regulatory policies in areas such as mutual recognition, and helps develop international regulatory standards through organizations such as the International Organization of Securities Commissions and the Financial Stability Forum; The Office of Investor Education and Advocacy, which helps educate the public about securities markets and warns investors of fraud and stock market scams; The Office of Economic Analysis, which helps the SEC estimate the economic costs and benefits of its various rules and regulations; and The Office of Information Technology, which supports the Commission and staff in information technology, including application development, infrastructure operations. and engineering, user support, IT program management, capital planning, security, and enterprise architecture. The Inspector General. The SEC announced in January 2013 that it had named Carl Hoecker the new inspector general.[16][17] He has a staff of 22. https://en.wikipedia.org/wiki/U.S._Securities_and_Exchange_Commission
Views: 6159 Way Back
What is Capital Market - Part 1 - जानिए कैपिटल मार्किट कैसे काम करता हैं - for competitive exams
 
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Views: 46429 Study IQ education
The New Financial Regulatory Environment and its Implications for Financial Markets
 
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Session: AFA Panel: The New Financial Regulatory Environment and its Implications for Financial Markets January 6, 2017 14:30 to 16:30 Sheraton Grand Chicago, Sheraton Ballroom V Session Chair: Deborah Lucas, Massachusetts Institute of Technology Presented by: Tobias Adrian, International Monetary Fund Presented by: Stephen Berger, Citadel Presented by: Darrell Duffie, Stanford University Presented by: Deborah Lucas, Massachusetts Institute of Technology
Views: 462 afajof
SEBI Securities Market 2018
 
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SEBI RBI Indian Financial system – introduction – structure – finance commission – financial administration – receipts of the Government – Expenditures of the Government. Capital markets – primary market – instruments – legal issues and regulations – secondary market – stock exchanges – brokers – trading in stock exchanges – forward trading – stock index – depositories – regulations Bond Market- Money market, G.sec Market, Corporate bond market, Bond valuation, Duration, sensitivity, risk Foreign Exchange market – exchange control – fixation of exchange rate – exchange control in India – FEMA – foreign exchange transactions of commercial banks in India – currency convertibility – currency forwards, futures and options – trading in foreign exchange market – relationship between money market and foreign exchange market. Commodity market, commodity trading and exchanges International capital markets – instruments – Guidelines – foreign investment in India and its regulations.
Views: 63 S K P
What are Derivatives ?
 
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An introduction to Derivatives.
Views: 1010914 graphitishow
Financial Industry Regulation: Assisting the Banking and Financial Markets - Elizabeth Warren (2009)
 
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Critics such as economist Paul Krugman and U.S. Treasury Secretary Timothy Geithner have argued that the regulatory framework did not keep pace with financial innovation, such as the increasing importance of the shadow banking system, derivatives and off-balance sheet financing. A recent OECD study suggest that bank regulation based on the Basel accords encourage unconventional business practices and contributed to or even reinforced the financial crisis. In other cases, laws were changed or enforcement weakened in parts of the financial system. Key examples include: Jimmy Carter's Depository Institutions Deregulation and Monetary Control Act of 1980 (DIDMCA) phased out a number of restrictions on banks' financial practices, broadened their lending powers, allowed credit unions and savings and loans to offer checkable deposits, and raised the deposit insurance limit from $40,000 to $100,000 (thereby potentially lessening depositor scrutiny of lenders' risk management policies.)[87] In October 1982, U.S. President Ronald Reagan signed into law the Garn--St. Germain Depository Institutions Act, which provided for adjustable-rate mortgage loans, began the process of banking deregulation,[citation needed] and contributed to the savings and loan crisis of the late 1980s/early 1990s.[88] In November 1999, U.S. President Bill Clinton signed into law the Gramm--Leach--Bliley Act, which repealed part of the Glass--Steagall Act of 1933. This repeal has been criticized for reducing the separation between commercial banks (which traditionally had fiscally conservative policies) and investment banks (which had a more risk-taking culture).[89][90] However, the vast majority of failures were at institutions that were created by Glass-Steagall.[91] In 2004, the U.S. Securities and Exchange Commission relaxed the net capital rule, which enabled investment banks to substantially increase the level of debt they were taking on, fueling the growth in mortgage-backed securities supporting subprime mortgages. The SEC has conceded that self-regulation of investment banks contributed to the crisis.[92][93] Financial institutions in the shadow banking system are not subject to the same regulation as depository banks, allowing them to assume additional debt obligations relative to their financial cushion or capital base.[94] This was the case despite the Long-Term Capital Management debacle in 1998, where a highly leveraged shadow institution failed with systemic implications. Regulators and accounting standard-setters allowed depository banks such as Citigroup to move significant amounts of assets and liabilities off-balance sheet into complex legal entities called structured investment vehicles, masking the weakness of the capital base of the firm or degree of leverage or risk taken. One news agency estimated that the top four U.S. banks will have to return between $500 billion and $1 trillion to their balance sheets during 2009.[95] This increased uncertainty during the crisis regarding the financial position of the major banks.[96] Off-balance sheet entities were also used by Enron as part of the scandal that brought down that company in 2001.[97] As early as 1997, Federal Reserve chairman Alan Greenspan fought to keep the derivatives market unregulated.[98] With the advice of the President's Working Group on Financial Markets,[99] the U.S. Congress and President allowed the self-regulation of the over-the-counter derivatives market when they enacted the Commodity Futures Modernization Act of 2000. Derivatives such as credit default swaps (CDS) can be used to hedge or speculate against particular credit risks. The volume of CDS outstanding increased 100-fold from 1998 to 2008, with estimates of the debt covered by CDS contracts, as of November 2008, ranging from US$33 to $47 trillion. Total over-the-counter (OTC) derivative notional value rose to $683 trillion by June 2008.[100] Warren Buffett famously referred to derivatives as "financial weapons of mass destruction" in early 2003.[101][102] http://en.wikipedia.org/wiki/Financial_crisis_of_2007%E2%80%9308
Views: 1832 The Film Archives
Capital Markets Law Journal: The Eurozone
 
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Jeffrey Golden, Lachlan Burn, and Mitu Gulati discuss the recent financial problems in the Eurozone. http://cmlj.oxfordjournals.org/
Global Financial Regulation
 
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As countries implement new regulations in response to the global financial crisis, will safer and sounder markets be the result? Or just more burdens and costs? What impact can we expect on financial institutions, lending, the flow of capital around the world and, eventually, the global economy? Has the too-big-to-fail problem been solved, or should the giants simply be broken up? Is there a place for a global financial regulator? And what should be done about the shadow banking system - the institutions that wield influence but go largely unregulated? Our panel will delve into whether there are more effective ways to oversee financial markets than current methods.
Views: 3325 Milken Institute
Overview of Capital Markets (Capital Market & Securities Laws) for CS Executive by Siddharth Academy
 
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Classes are available for CA/CS/CMA. You can purchase classes at a very reasonable price. For full lectures, chapter wise log on to our website: www.superprofs.com or call at 011-39587099
Views: 44803 SuperProfs.com
Capital market harmonisation: Aligning market liberalisation & regulatory supervision (Securities)
 
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Whereas in previous years, the discussions around harmonisation have concentrated on the benefits of financial markets liberalisation, recent events have proven that such strategies should not occur without a regulatory framework. This raises a systematic question: do many restrictions hamper market development or are they key to their success? In this debate we analysed the different degrees of liberalisation versus the need for relevant supervisory schemes.
Views: 159 SibosTV
Global Capital Markets. A Survey of Legal and Regulatory Trends
 
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BOOK REVIEW GLOBAL CAPITAL MARKETS A Survey of Legal and Regulatory Trends Edited by P M Vasudev and Susan Watson ISBN: 978 1 78643 286 5 (book) 978 1 78643 287 2 (ebook) Edward Elgar Publishing Limited www.e-elgar.com www.elgaronline.com REGULATION MORE OR LESS? A COMPENDIUM OF CURRENT THINKING AND RESEARCH ON GLOBAL CAPITAL MARKETS An appreciation by Elizabeth Robson Taylor of Richmond Green Chambers and Phillip Taylor MBE, Head of Chambers and Reviews Editor, “The Barrister” To regulate or not to regulate? That, fundamentally, is the question posed by this wide-ranging survey of the varying and always apposite analyses held by expert opinion on this subject across a range of jurisdictions worldwide. This new title from Edward Elgar Publishing contributes significantly to the ongoing debate on the extent to which the processes and procedures and generally, the ethos of global capital markets should be subject to regulation and if so, to what level. It is indeed a survey of ‘legal and regulatory trends.’ With business having gone global for some time, there is a pressing need for informed and rational debate (as opposed to doctrinaire rant) on whether more regulation of financial instruments and transactions is necessary and if so, what kind and to what degree. The dynamic ebb and flow of activity and innovation emerging in capital markets (crowd funding is cited as a typical example) continue to pose challenges for public policy and point up, in the words of the editors, the need for ‘checking market excesses’. This book should therefore attract the attention of a broad segment of international readers, from corporate lawyers to economists and social commentators, not to mention politicians and indeed anyone with the power to influence policy. As a compendium of research within this area of concern, this book provides extensive coverage of a wide range of issues, from investors and markets, to cross-border enforcement, to discussion of whether shareholder empowerment is an effective instrument for improved corporate governance. (One would have thought this was a good idea, depending on one’s political ideology.) Such themes and theories, say the editors, are ‘evident in the stories related in this volume from around the world.’ Divided into three sections, the book covers in Part I, Investors and the Stock Market -- er, which one -- is the immediate query, but any confusion here is quickly resolved. Part II -- Capital Markets Development and the Law -- contains an article dealing with ‘corporate control enhancing mechanisms’, (mentioning China and the United States) and concluding in part, that such mechanisms may well help firms to retain their valuable human capital – a core advantage in the digital age, although concerns here about corporate governance immediately arise. The book’s third section focusses on crowd funding, including its ‘unperceived effect on company law’. Although much of the discourse and analysis in this book is theoretical, it does reveal for the most part, the speed at which theory can be transmuted into -- and applied in practice, as evidenced by the case studies cited from a number of regions, from Europe and North America, to India and China. A timely and thought-provoking read, this survey with its wealth of references, should be especially useful for those toiling in the diverse vineyards of comparative law, whether as students or practitioners. The publication date is cited as at 25th August 2017.
Views: 78 Phillip Taylor
Cryptocurrency Market Regulation Updates and Need for Remediation Protocols | Vincent Molinari
 
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https://www.tradetemplum.com/ Digital Assets Report: Weekly Show. Recorded LIVE at the New York Stock Exchange. SCN Corporate Connect's Jane Kings sits down with Vincent Molinari - CEO of Templum Markets LLC, to discuss the latest with Blockchain technology and Cryptocurrencies. Vince Molinari Vincent Molinari is the Founder of Templum, LLC, CEO of Liquid Markets Group, and CEO of Liquid M Capital, LLC (FINRA Registered Broker Dealer), and it’s ATS, LiquidityM. Mr. Molinari was previously the CEO and Co-Founder of Gate Global Impact, Inc and is a founder of the Blockchain Commission. Mr. Molinari has nearly 3 decades of experience as a licensed person in the securities industry where he began his career at Lehman Brothers and later at Janney Montgomery Scott. Mr. Molinari is a nationally recognized Thought Leader in the investment industry and is an active Global Speaker on Market Infrastructure, Capital Formation, Impact Investing, and The JOBS Act. He has also served as the Correspondent for Impact Investing for Clear Channel. He has been invited to testify before the U.S. House of Representatives Committee on Financial Services, Subcommittee on Capital Markets, and Government Sponsored Enterprises. Mr. Molinari has also testified before The Securities and Exchange Commission's Advisory Committee on Small and Emerging Companies regarding secondary market liquidity. He has participated in authoring 16 Comment Letters to the SEC, Proposals for Rule Changes, and Amendments to Securities Laws. Vince also led authorship of a Patent for Systems and Methods for Trading, Clearing and Settling Securities Transactions Using Blockchain Technology. In addition, he consults with members of Congress and Senate on these issues. He believes new market infrastructure brings transparency, efficiency, and liquidity to the unstructured global alternative asset markets. His vision is based on the core beliefs that "actionable knowledge" drives investments and that technology can close the gap between traditional and emerging alternative markets. Vince believes opening the private market for investment can spearhead economic growth and job creation. The company's initiatives in Impact Investing reflect a commitment to bringing positive change through financial innovation and access to capital. He has established and operated innovative Alternative Trading Systems (ATS) and Quotation Bureau for 144A and Private Securities. He also helped to create taxonomies and unique identifiers for the clearance, settlement and depository for these unregistered securities. Additionally, he formed and operated a Qualified Matching Service (QMS) for LPs pursuant to a Private Letter Ruling from the US Department of Treasury. Mr. Molinari has vast international experience, having established financial services partnerships in China, South Korea, the UK and India. He also formed innovative Public-Private partnerships with organizations including United Nations Global Compact and the Overseas Private Investment Corporation (OPIC.) Mr. Molinari has been very active in industry initiatives and forums. For example, he is a Founding Member and First Co-Chair of Crowd Funding Intermediary Regulatory Advocates (CFIRA), and a Founding Member of Crowd Funding Professional Association (CFPA). Moreover, Mr. Molinari was directly responsible for acting as an advocate in industry forums, focusing on bringing regulatory framework to bear and facilitating investor protection through not only information availability and access to liquidity. Mr. Molinari is also an active speaker on issues related to capital markets and early- stage companies, and regularly speaks at events around the world, lately with particular focus on Market Infrastructure, Impact Investing, and the JOBS Act. Mr. Molinari has been quoted and published in a wide range of business media including the Wall Street Journal, Washington Post, Forbes, Bloomberg News, CNNTech, CSRwire, TechCrunch, TriplePundit Advance Trading and Securities Technology Monitor. Some of his Awards and Honors include: United Nations Global Compact 2013 Leaders Summit Delegate, 2014 Kingonomics Emancipation of Capital Award: Emerging Markets, 2016 Impact Frederick Douglas Award: Male Champion of Global Women's Equality, and IGD Frontier 100 Leader. He also serves on various Boards as a Global Advisory Council Member including IMPACT Leadership 21, Operation Water, and Cornerstone Capital Group. He is a speaker for the Federal Reserve Bank of New York as well as the U.S. Department of State- International Visitor Leadership Program.
Beyond Firefighting: Rethinking Financial Market Regulation
 
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Speakers: William H. Donaldson, Chairman, Donaldson Enterprises Stephen Friedman, Chairman, Stone Point Capital Ernest Patrikis, Partner, Pillsbury Winthrop Shaw Pittman LLP; Former First Vice President, Federal Reserve Bank of New York Presider: John Gapper, Associate Editor and Chief Business Commentator, Financial Times General Meeting: McKinsey Executive Roundtable Series in International Economics: Beyond Firefighting: Rethinking Financial Market Regulation Watch experts including former Securities and Exchange Commission Chairman William Donaldson discuss what implications the 2008 financial crisis is likely to have for securities regulation.
ICMA Webinar: CSD Regulation Mandatory Buy-ins
 
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CSD Regulation primarily focuses on the prudential, organizational, and business standards of EU and EEA central securities depositories (CSDs). However, the Settlement Discipline provisions of the regulation have direct and far-reaching trading implications, in particular the framework for mandatory buy-ins. The design of the CSDR buy-in framework is very different to conventional buy-in processes and presents a number of risks and new considerations for market participants, particularly when they sell or lend securities. This webinar will present an overview of the CSDR mandatory buy-in provisions and contrast these with more conventional processes. It will also explore the likely implications for market risk and potential adverse behavioural incentives for European bond and repo market participants. Topics covered by Andy Hill, Senior Director, Market Practice and Regulatory Policy, ICMA will include: - CSDR Settlement Discipline & mandatory buy-ins - Conventional buy-ins vs CSDR mandatory buy-ins - The CSDR mandatory buy-in asymmetry - Potential risks and adverse behavioural impacts of CSDR mandatory buy-ins - Challenges of applying CSDR mandatory buy-ins to SFTs - What ICMA is doing with respect to CSDR-SD
Views: 456 theICMA
What is Capital Market? Learn the Basics of Finance and Share Markets
 
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What is Capital Market? Learn the Basics of Finance and Share Markets This video above will help in understanding share or capital markets better and also clearing all your doubts. The aim of this video is to provide a basic level understanding of Capital Markets. Visit Elearnmarkets: https://www.elearnmarkets.com Download StockEdge App: www.stockedge.com You can check out the courses here- https://www.elearnmarkets.com/courses To get more updates Follow us on- Facebook- https://www.facebook.com/elearnmarkets Twitter- https://twitter.com/elearnmarkets Google Plus- https://plus.google.com/u/0/109333708... Linkedin- https://www.linkedin.com/company/9399886
Views: 189456 Elearnmarkets.com
Types of Financial Market Regulation
 
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Types of Financial Market Regulation. Video covering the different Types of Financial Market Regulation Instagram: @econplusdal Twitter: https://twitter.com/econplusdal Facebook: https://www.facebook.com/EconplusDal-1651992015061685/?ref=aymt_homepage_panel
Views: 24088 EconplusDal
CS Executive (New Syllabus) Paper 6 Securities Laws & Capital Markets By Shaweta Loya
 
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For more details visit: https://www.cakart.in/best-cs-executive-online-classes-video-lectures-coaching?src=YT Crack CS Executive in the 1st attempt. Get India's best faculty video classes for best study at home. Give missed call @9980100288. International students - visit https://www.cakart.in and chat. A smart decision today can save you a lot of time (years) in your career. Give missed call @9980100288 now.
Views: 285 CA KART
50th Annual Institute on Securities Regulation
 
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Co-chairs David M. Lynn, Jenner & Block LLP, Carmen J. Lawrence, King & Spalding, and Keith F. Higgins, Ropes & Gray LLP, are assembling the most comprehensive, relevant, timely and practical program you’ll find anywhere. From developments in the capital markets impacting seasoned issuers to late-stage private and smaller reporting company considerations, to enforcement and securities litigation developments, to accounting and auditing, to M&A, and so much more, the Institute will offer the critical information you need to function most effectively in the current business and regulatory environment. https://bit.ly/2sGnoI1
How Should the Financial Markets Be Structured? Securities Trading, Corporate Scandals, Laws (2004)
 
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Following the market turbulence of the 1990s financial crises and September 11 attacks on the U.S. in 2001, financial integration intensified among the developed nations and emerging markets, with substantial growth in capital flows among banks and in the trading of financial derivatives and structured finance products. Worldwide international capital flows grew from $3 trillion to $11 trillion U.S. dollars from 2002 to 2007, primarily in the form of short-term money market instruments with maturities of less than one year. The United States experienced growth in the size and complexity of financial institutions engaged in a broad range of financial services across borders in the wake of the Gramm--Leach--Bliley Act of 1999 which repealed the Glass--Stegall Act of 1933, ending limitations on commercial banks' investment banking activity. Industrialized nations increasingly began relying on foreign capital to finance domestic investment opportunities, resulting in unprecedented capital flows to advanced economies from developing countries, as reflected by global imbalances which grew to 6% of gross world product in 2007 from 3% in 2001.[24]:129-130[18]:19 The global financial crisis that precipitated in 2007 and 2008 shared some of the key features exhibited by the wave of international financial crises in the 1990s, including accelerated capital influxes, weak regulatory frameworks, relaxed monetary policies, herd behavior during investment bubbles, collapsing asset prices, and massive deleveraging. The systemic problems originated from within the United States and other advanced nations.[24]:133-134 Similarly to the 1997 Asian crisis, the global financial crisis entailed broad lending by banks undertaking unproductive real estate investments as well as poor standards of corporate governance within financial intermediaries. Particularly in the United States, the crisis was characterized by growing securitization of non-performing assets, large fiscal deficits, and excessive financing in the housing sector.[33]:21-22[18]:18-20 While the real estate bubble in the U.S. triggered the financial crisis, the bubble was financed by foreign capital flowing from many different countries across the world. As its contageous effects began to infect other nations, the crisis became a precursor for the global economic downturn now referred to as the Great Recession. In the wake of the crisis, the total volume of world trade in goods and services fell 10% from 2008 to 2009 and did not recover until 2011, with an increased concentration in emerging market countries. The global financial crisis demonstrated the negative effects of worldwide financial integration, sparking discourse on how and whether some countries should decouple themselves from the global financial system altogether. In 2009, a newly elected government in Greece revealed that the previous government had been falsifying its national budget data, and that its fiscal deficit for the year was 12.7% of its GDP as opposed to the 3.7% espoused by the former government. This news alerted financial markets to the fact that Greece's deficit exceeded the eurozone's maximum of 3% as outlined in the Economic and Monetary Union's Stability and Growth Pact (SGP). Investors concerned by the possibility of a sovereign default began rapidly selling Greek bonds. Given Greece's prior decision to embrace the euro as its currency, it no longer held monetary policy autonomy and could not intervene to depreciate a national currency for the purposes of absorbing this shock and boosting competitiveness, as was the traditional solution to sudden capital flights. The crisis proved contagious when it spread to Portugal, Italy, and Spain (together with Greece these are collectively referred to as the PIGS. Ratings agencies downgraded these countries' government debt instruments in 2010 which further increased the costliness of refinancing or repaying their national debts. The contagion continued to spread and soon grew into a European sovereign debt crisis which threatened economic recovery in the wake of the Great Recession. In tandem with the IMF, the European Union members assembled a €750 billion bailout for Greece and other afflicted nations. Additionally, the ECB pledged to purchase bonds from troubled eurozone nations in an effort to mitigate the risk of a banking system panic. http://en.wikipedia.org/wiki/Global_financial_system
Views: 546 The Film Archives
SEBI (Prohibition of Insider Trading) Regulations, 2015!
 
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CS Executive , CS Professional, CA Final , Securities Law and Capital Market! What is insider trading, definition of insider , connected person , deemed to be connected person!!
CA Videos on CS Executive - Capital Markets and Securities Laws from Dhruva Agrawal
 
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Crack CS Executive in the 1st attempt. Get India's best faculty video classes for best study at home. Give missed call @9980100288. International students - visit https://www.cakart.in and chat. A smart decision today can save you a lot of time (years) in your career. Give missed call @9980100288 now.
Views: 3798 CA KART
Securities Laws - Mutual Funds | CS Executive CMSL | CS Executive Securities Law Videos
 
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Davos 2019 - China Economic Outlook
 
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China's economic growth of 6.5% in the past quarter was the weakest since the financial crisis and is expected to slow further. How are emerging domestic and global trends affecting China's economic outlook? On the Forum Agenda: - Effects of trade dispute with the United States - Balancing economic growth and financial risks - Revamping infrastructure and industries This session was developed in partnership with Yicai. Speakers: - Timothy Adams, President and Chief Executive Officer, Institute of International Finance (IIF), USA. - Fang Xinghai, Vice-Chairman, China Securities Regulatory Commission, People's Republic of China. - Jin Keyu, Professor of Economics, London School of Economics and Political Science, United Kingdom; Young Global Leader. - Glenn Youngkin, Co-Chief Executive Officer, Carlyle Group, USA. - John Zhao, Chairman and Chief Executive Officer, Hony Capital, People's Republic of China. Moderated by: - Yang Yanqing, Deputy Editor-in-Chief, Yicai Media Group, People's Republic of China. http://www.weforum.org/
Views: 31429 World Economic Forum
Capital market and securities laws  (CMSL) PART 2 for CS EXECUTIVE
 
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chapter first of study mat , Finamcial markets , securities Market,
Views: 5089 Prof. LK Soni
Lack of international financial markets regulation causing corruption
 
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An open letter published on Wednesday, addressed to the G20 leaders in advance of the summit in Brisbane, Australia, calls for the world's biggest economies to take concrete action to combat corruption. Executive Director of Corruption Watch David Lewis talks about the issue
Views: 75 SABC Digital News
Capital Market Regulations in Dubai
 
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The Dubai International Financial Centre is a financial hub set-up as a free zone in Dubai. Find out what are the capital market regulations here as well as other rules imposed by the Securities Commission. You can contact our law firm in Dubai at: http://www.dubai-lawyers.net/ for more information
Views: 50 bridgewestEU
Banking 1 | Money, banking and central banks  | Finance & Capital Markets | Khan Academy
 
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Introduction to how banks make money and the value they (potentially) add to society. Created by Sal Khan. Watch the next lesson: https://www.khanacademy.org/economics-finance-domain/core-finance/money-and-banking/banking-and-money/v/banking-2-a-bank-s-income-statement?utm_source=YT&utm_medium=Desc&utm_campaign=financeandcapitalmarkets Finance and capital markets on Khan Academy: We all use money and most of us use banks. Despite this, the actual working of the banking system is a bit of a mystery to most (especially fractional reserve banking). This older tutorial (bad handwriting and resolution) starts from a basic society looking to do more than barter and incrementally builds to a modern society with fraction reserve banking. Through this process, you will hopefully gain a deep understanding of how money and banking works in our modern world. About Khan Academy: Khan Academy offers practice exercises, instructional videos, and a personalized learning dashboard that empower learners to study at their own pace in and outside of the classroom. We tackle math, science, computer programming, history, art history, economics, and more. Our math missions guide learners from kindergarten to calculus using state-of-the-art, adaptive technology that identifies strengths and learning gaps. We've also partnered with institutions like NASA, The Museum of Modern Art, The California Academy of Sciences, and MIT to offer specialized content. For free. For everyone. Forever. #YouCanLearnAnything Subscribe to Khan Academy’s Finance and Capital Markets channel: https://www.youtube.com/channel/UCQ1Rt02HirUvBK2D2-ZO_2g?sub_confirmation=1 Subscribe to Khan Academy: https://www.youtube.com/subscription_center?add_user=khanacademy
Views: 841634 Khan Academy
Economic Growth, Financial Markets in Japan, and Emerging Markets - George Soros (2002)
 
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Japan's securities markets increased their volume of dealings rapidly during the late 1980s, led by Japan's rapidly expanding securities firms. There were three categories of securities companies in Japan, the first consisting of the "Big Four" securities houses (among the six largest such firms in the world): Nomura, Daiwa, Nikko, and Yamaichi. The Big Four played a key role in international financial transactions and were members of the New York Stock Exchange. Nomura was the world's largest single securities firm; its net capital, in excess of US$10 billion in 1986, exceeded that of Merrill Lynch, Salomon Brothers, and Shearson Lehman combined. In 1986, Nomura became the first Japanese member of the London Stock Exchange. Nomura and Daiwa were primary dealers in the United States Treasury bond market. The second tier of securities firms contained ten medium-sized firms. The third tier consisted of all the smaller securities firms registered in Japan. Many of these smaller firms were affiliates of the Big Four, while some were affiliated with banks. In 1986 eighty-three of the smaller firms were members of the Tokyo Securities and Stock Exchange. Japan's securities firms derived most of their income from brokerage fees, equity and bond trading, underwriting, and dealing. Other services included the administration of trusts. In the late 1980s, a number of foreign securities firms, including Salomon Brothers and Merrill Lynch, became players in Japan's financial world. Japanese insurance companies became important leaders in international finance in the late 1980s. More than 90% of the population owned life insurance and the amount held per person was at least 50% greater than in the United States. Many Japanese used insurance companies as savings vehicles. Insurance companies' assets grew at a rate of more than 20% per year in the late 1980s, reaching nearly US$694 billion in 1988. The life insurance companies moved heavily into foreign investments as deregulation allowed them to do so and as their resources increased through the spread of fully funded pension funds. These assets permitted the companies to become major players in international money markets. Nippon Life Insurance Company, the world's largest insurance firm, was reportedly the biggest single holder of United States Treasury securities in 1989. The Tokyo Securities and Stock Exchange became the largest in the world in 1988, in terms of the combined market value of outstanding shares and capitalization, while the Osaka Stock Exchange ranked third after those of Tokyo and New York. Although there are eight stock exchanges in Japan, the Tokyo Securities and Stock Exchange represented 83% of the nation's total equity in 1988. Of the 1,848 publicly traded domestic companies in Japan at the end of 1986, about 80% were listed on the Tokyo Securities and Stock Exchange. Two developments in the late 1980s helped in the rapid expansion of the Tokyo Securities and Stock Exchange. The first was a change in the financing of company operations. Traditionally large firms obtained funding through bank loans rather than capital markets, but in the late 1980s they began to rely more on direct financing. The second development came in 1986 when the Tokyo exchange permitted non-Japanese brokerage firms to become members for the first time. By 1988 the exchange had sixteen foreign members. The Tokyo Securities and Stock Exchange had 124 member companies in 1990. In 1990, five types of securities were traded on the Tokyo exchange: stocks, bonds, investment trusts, rights, and warrants alone. Japan's stock market dealings exploded in the 1980s, with increased trading volume and rapidly rising stock prices. The trading recorded by the Nikkei 225 stock average, compiled by the Nihon Keizai Shimbun (Japan Economic Daily), grew from 6,850 in October 1982 to nearly 39,000 in early 1990. During one six-month period in 1986, total trade volume on the Tokyo exchange increased by 250% with wild swings in the Nikkei. After the plunge of the New York Stock Exchange in October 1987, the Tokyo average dropped by 15%, but there was a sharp recovery by early 1988. This was the height of the Japanese asset price bubble, which collapsed in the year 1990, and was followed by the lost decade. http://en.wikipedia.org/wiki/Japanese_financial_system
Views: 3517 The Film Archives
Insurance Linked Securities (ILS) market poised for growth, offering enhanced..
 
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Subscribe to this channel: http://www.youtube.com/OpalesqueTV Secquaero Advisors is an independent Switzerland-based boutique established in 2007 by two seasoned professionals with over 45 years of combined experience in (re-)insurance business as well as actuarial and risk modelling fields, Dirk Lohmann and Hans Peter Boller. The firm helps investors achieve enhanced and uncorrelated performance by accessing a broader spectrum of Insurance Linked Securities (ILS) opportunities than is the case with most ILS funds. Secquaero's management has an impressive track record of innovation in the field of insurance securitization. For example, Dirk Lohmann has initiated the first securitization of natural catastrophe risk, creating the first catastrophe bond ("Kover") in 1994 while at Hannover Re. This Opalesque BACKSTAGE is an in-depth feature about the opportunities and benefits of insurance-linked securities, a marked poised for huge growth as more risk gets transferred to the capital markets, particularly from emerging markets. You will learn: * What are insurance-linked securities (ILS)? * Advantages & benefits of ILS for investors * In which sectors are ILS instruments available? * How can ILS managers manage risk? * Why ILS managers have an edge over insurers * Why Secquaero was not hit by the big 2011 Japan earthquake * How will the ILS sector grow? * Is now potentially a good time to invest in ILS? Hans Peter Boller has almost 20 years of consulting, research and management experience in the insurance and reinsurance industries. He began his career at Tillinghast where he worked in risk management and actuarial functions in London and Cologne. During this time he was instrumental in establishing Tillinghast's non-life presence, particularly in the German market, and provided consulting services to various European and Japanese insurance and reinsurance entities. Subsequently, he joined Zurich Financial Services where he served as Chief Actuary for the group's reinsurance businesses (Zurich Re and Group Internal Reinsurance). Prior to establishing Secquaero Advisors Ltd. Hans Peter Boller was Chief Risk Officer and member of the Executive Board of Converium in Zurich. Hans Peter Boller maintains an active role in industry and professional bodies. He is presently Chairman of the Swiss ASTIN section, a member of the International ASTIN Committee and sits on various committees of the German Actuarial Association (DAV). During 2006 and 2007 he served as a consultant to the European Insurance Association CEA (Comité Européen Assurance) on matters pertaining to the proposed introduction of the new European solvency standard for insurers (Solvency II). Hans Peter Boller is a qualified actuary in Germany (DAV) and Switzerland (SAV). He studied at the University of Karlsruhe where he received a Master degree (Wirtschaftsingenieur) and a Ph.D. His doctoral thesis under Professor Hipp was on the application of mathematical concepts in the risk and capital management of (re)insurance companies through ALM and Internal Models.
Views: 2653 OpalesqueTV
Capital Market - IOSCO - Types of Membership
 
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International Organisation of Securities Commissions, Objectives, types of memberships in IOSCO
Views: 1697 MODELEXAM
Panel Replay: Calibrating Regulation to Strengthen Markets
 
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How can we calibrate financial regulation to strengthen markets without forsaking economic growth? For more expert insights from The Capital Markets Conference - including financial regulation, infrastructure, sustainable finance and more - visit www.sifmaannualmeeting.org.
Views: 246 SIFMA
Resource mobilisation For cs excutive as per module
 
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hey guys this is another video cover chapter 11 of cs excutive, I hope u like this thank you.. Yagya chhabra mudra club
Views: 3804 Yagya Chhabra
Types of Derivatives in Indian Financial Markets
 
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Course Page: http://www.elearnmarkets.com/packages/index/equity-derivatives-course-for-beginners Website: http://www.elearnmarkets.com/ Derivatives are known to be among the most powerful financial instruments, The Indian equity derivatives market has seen tremendous growth since the year 2000 when equity derivatives were introduced in India. This course provides insights into different types of equity derivatives, their trading, clearing and settlement and the regulatory framework, preparing you for a career in the fascinating world of trading. We constantly help you with strategies for equity and derivatives investment provides knowledge for trading on futures & options, hedging with Nifty and other products and opportunities of near risk free arbitrage between various segments. These instruments give rise to many opportunities as well as challenges because there are some important differences between investments in the cash market as opposed to that in derivatives For Offline i.e. Classroom Courses, Contact: Ms. Neelam Gupta: - +91-9748222555 [email protected] For Online Live as well As Recorded classes, Contact: - Ms. Puja Shaw: - +91-9903432255 [email protected] Quick! Subscribe! ►► http://bit.ly/1RP8RjE Visit Us on Twitter: https://twitter.com/elearnmarkets Join our page on Facebook: https://www.facebook.com/elearnmarkets
Views: 87714 Elearnmarkets.com
ICMA Annual Conference 2016: Panel 1, Developments in Global Capital Markets
 
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How have markets adapted to the economic and regulatory landscape of the past year? Are they resilient enough to deal with future shocks and sufficiently developed to play their role in financing economic growth? Introductory presentation on global capital markets followed by panel discussion: Arunma Oteh, Treasurer, The World Bank Moderator: Spencer Lake, Chairman of the Board, ICMA and Vice Chairman of Global Banking and Markets, HSBC Bank Panellists: Dr. Frank Engels, Managing Director, CIO Fixed Income, Union Investment Privatfonds Arunma Oteh, Treasurer, The World Bank Jean-Michel Six, Chief Economist, EMEA, S&P Global Ratings Yu Sun, General Manager, Bank of China Marc Tempelman, Co-Head of Corporate Banking & Debt Capital Markets (EMEA), Bank of America Merrill Lynch May 19, Dublin
Views: 110 theICMA
Regulation of Financial Markets law module QLLM082
 
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Hear from students on the postgraduate LLM law module 'Regulation of Financial Markets' QLLM082 at Queen Mary University of London.
Views: 1265 QMULSchoolofLaw
CS Executive (New Syllabus) Paper 6 Securities Laws & Capital Markets By Prof Namrata
 
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For more details visit: https://www.cakart.in/best-cs-executive-online-classes-video-lectures-coaching?src=YT Crack CS Executive in the 1st attempt. Get India's best faculty video classes for best study at home. Give missed call @9980100288. International students - visit https://www.cakart.in and chat. A smart decision today can save you a lot of time (years) in your career. Give missed call @9980100288 now.
Views: 410 CA KART
OSK Securities Thailand CEO Victor Yuen Tuck Choy on Thailand's capital markets
 
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Victor Yuen Tuck Choy is the CEO of OSK Securities Thailand (OSK Thailand), a member of RHB Banking Group. He spoke with The Prospect Group about the government's Baht bond issuance in 2012, the impact of the western debt crisis on the Thai economy, and the regulatory framework of the local capital market. Copyright 2012 - The Prospect Group For more information, please visit: http://www.theprospectgroup.com/osk-securities-thailand-ceo-victor-yuen-tuck-choy-on-thailands-capital-markets-81122/
Views: 385 The Prospect Group
2017 Outlook: Capital Market Regulations & Enforcement
 
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For more information log on to http://www.channelstv.com
IOSCO Reflects Strength, Quality Of Country's Capital Market
 
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The opening of the International Organisation of Securities Commission's (IOSCO) Asia Pacific hub here is a recognition of Malaysia's international leadership role in building sound global capital markets. Prime Minister, Datuk Seri Mohd Najib Tun Razak said the selection of Malaysia as the host also reflected the strength and quality of the country's capital market, as well as its regulatory architecture. He said this in his speech during the launch of the hub earlier today. The hub, which is IOSCO's first hub outside its headquarters in Madrid, Spain, was launched at The Global Emerging Markets Regulatory Conference 2017.
Views: 89 ntv7 news
12. Misbehavior, Crises, Regulation and Self Regulation
 
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Financial Markets (2011) (ECON 252) After talking about human failures and foibles in the last lecture, this lecture is concerned with regulation to minimize the impact of human errors. Professor Shiller outlines five different levels of regulation: Regulation on the firm level, on the level of trade groups, on the regional, the national, and the international level. Concerning the first level, he emphasizes the role of the board of directors as the regulators of a company, its duties of care and loyalty, and its responsibilities in the face of tunneling. On the level of trade groups, Professor Shiller presents the history of the New York Stock Exchange from the signing of the Buttonwood Agreement until today. The subsequent description of regional regulation centers on Blue Sky laws during the progressive era of the U.S. in the late 19th and early 20th century. On the national level of regulation, he covers the founding days of the Securities and Exchange Commission, its regulation of hedge funds, as well as its efforts against the trading of insider information and stock price manipulation. He complements his coverage of national regulation with the regulatory efforts in the aftermath of the financial crisis from 2007-2008, i.e. the creation of the Financial Stability Oversight Council and of the Consumer Financial Protection Bureau by the Dodd-Frank Act from 2010, paired with the European efforts in the course of the European Supervisory Framework, also from 2010. With respect to the fifth and final level of regulation - international regulation - Professor Shiller talks about the Basel Committee on Banking Supervisionand the G-20. 00:00 - Chapter 1. The Importance of Regulation and Its Challenges 08:10 - Chapter 2. Firm Level Regulation: The Board and Its Duties 25:37 - Chapter 3. Trade Group Level Regulation and Its Controversies 38:17 - Chapter 4. Local Regulation: The Progressive Era 42:59 - Chapter 5. National Regulation: The Securities and Exchange Commission 49:41 - Chapter 6. Minimal Regulation: Hedge Funds 55:39 - Chapter 7. Market Surveillance: Preventing Manipulation 01:04:25 - Chapter 8. Regulatory Pushes at Home and Abroad Complete course materials are available at the Yale Online website: online.yale.edu This course was recorded in Spring 2011.
Views: 38469 YaleCourses
Re-regulation Of Financial Markets Necessary
 
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US Representative Keith Ellison hosted a financial forum in Minneapolis' Powderhorn Park recreational center in the fifth congressional district. Prentiss Cox, a lawyer, spoke on the panel. Here is his opening speech.
Views: 125 Michael McIntee