Market Regulation:
Self-Regulatory Organizations
In light of market developments, new technologies, growing global competition, and other factors that increase the conflicts inherent in a system of self-regulation, we have compiled our research and comments on the global convergence of securities markets and regulation into a paper, “Self-Regulation in Today’s Securities Markets.”
This paper focuses on traits that will strengthen self-regulatory systems by addressing the inherent conflicts and develops a core set of standards applicable to most regulatory systems, regardless of jurisdiction or structure. The paper also offers suggestions for a global oversight framework of securities markets focused on efficiency and investor protection.
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Articles
- "CFA Institute Looks at Self Regulatory Models," CFA Magazine
- "Self Regulation a Danger Says Exchange Study," Financial Times (PDF)