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  • Erik Thedéen: On The Agenda: The Swedish FSA’s Mandate And Current Challenges

    Date 13/09/2018

    The procyclical nature of the financial sector tends to amplify cycles and may turn a severe downturn into a financial crisis. One of FI’s tasks is to mitigate this pro-cyclicality.

  • ESMA Finds High Level Of Diversity In National Markets For Structured Retail Products

    Date 13/09/2018

    The European Securities and Markets Authority (ESMA) has carried out a study of the EU market in structured retail products, from an investor protection perspective.

  • Remarks To The SEC Investor Advisory Committee, Chairman Jay Clayton

    Date 13/09/2018

    Thank you, Anne (Sheehan).  Good morning everyone. 

    I want to welcome, or should I say welcome back, Commissioner Elad Roisman.  This is Commissioner Roisman’s first Investor Advisory Committee meeting.  Elad was confirmed just last week and he joins us as the 98th Commissioner of the SEC.  We met many years ago when Elad first worked at the Commission and I am certain he will again make a lasting contribution to our work. 

  • Startups Gain Better Access To Later Stage Financing - GP Bullhound Becomes New Partner Of Deutsche Börse Venture Network

    Date 13/09/2018

    With a new collaboration, the more than 160 startups from Deutsche Börse Venture Network will get better access to growth financing: global technology advisory and investment firm GP Bullhound is joining the network. Companies in the later stage growth phase in particular will benefit from this. GP Bullhound is offering its advisory services to network members in their growth phase that are seeking the next round of growth capital or which want to sell their company.

  • SEC: Statement Regarding Staff Proxy Advisory Letters - Investment Management

    Date 13/09/2018

    As recently announced, the Commission staff will be hosting an upcoming Roundtable on the Proxy Process.1 The Roundtable, which is expected to be in November 2018, will provide the staff an opportunity to engage with market participants on topics including the voting process, retail shareholder participation and the role of proxy advisory firms. In developing the agenda for the roundtable, the staff has been considering (among other topics) whether prior staff guidance about investment advisers’ responsibilities in voting client proxies and retaining proxy advisory firms should be modified, rescinded or supplemented. Staff guidance is nonbinding and does not create enforceable legal rights or obligations.