Canadian Securities Regulators Tighten Rules for Mutual Funds
Canadian regulators have introduced new rules for mutual funds, focusing on fee transparency and performance reporting to better protect investors
Regulation Best Execution: Protecting Investors in Fragmented Markets
The SEC’s 2024 Regulation Best Execution requires brokers to rigorously demonstrate they’re getting clients the optimal trade prices. This formalizes what was previously implicit, with detailed documentation of how firms route orders and analyze execution quality across different trading venues.
Climate Risk Disclosures: The New Financial Reporting Mandate
The SEC’s pending climate disclosure rules will require public companies to report greenhouse gas emissions and climate-related risks. Similar regulations take effect in California (2026) and the EU (CSRD). These aim to standardize sustainability reporting and prevent “greenwashing,” giving investors comparable data to assess climate risks.
SEC’s New Cybersecurity Rules: Protecting Your Investments
The SEC’s 2023 cybersecurity rules mandate that public companies disclose material cyber incidents within four business days. They must also detail their cyber risk management strategies annually. These rules aim to standardize disclosures that were previously inconsistent, helping investors assess cyber risks across their portfolios.
Basel III Endgame: How New Banking Rules Affect You
The Basel III reforms represent the global response to the 2008 financial crisis, with new “endgame” rules taking effect through 2025. These require banks to hold more capital against potential losses, particularly for trading activities and operational risks. While making banks safer, this could reduce their profitability and potentially limit credit availability.