Market Regulation
Ideally, market regulation fosters efficient capital markets by permitting investors to make well-informed decisions and providing issuers with lower capital costs. The best regulatory systems promote transparency of price data and relevant issuer information. They are designed and enforced to maintain and enhance market credibility, openness, and investor confidence; and ensure a level playing field in trade execution for all market participants. Self regulation also encourages participant “buy-in” to the purpose and meaning of the regulation.
Our identification of regulatory conflicts and suggestions for a global regulatory architecture are presented in our recent research: Self-Regulation in Today's Securities Markets
Our research and standards lend context to market regulation, including:
- Standards of Practice Handbook
- Asset Manager Code of Professional Conduct
- Corporate Governance of Listed Companies
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Comment Letters
- Centre comments on Consultation on Control Structures in Audit Firms and Their Consequences on the Audit Market 25 February 2009 (PDF)
- Centre comments on FSA Consultation Paper 09/04 − Rights Issue Subscription Periods 23 January 2009 (PDF)
- Centre comments to CESR on Market Abuse Directive 7 January 2009 (PDF)
- Comments to the Presidential Transition Team 9 December 2008
- Comments to HMT on Updating the Rights Issue Process 9 September 2008 (PDF)
Article
- "Centre Studies Market Regulation," CFA Magazine
Press Release