The Problem Of Self Regulation - 855 Words

Self regulation may also create some problems of the financial and securities market (Peter Keith, 2007). Nowadays, financial markets are more complexity, interrelated, and cross-cutting global that let the SROs faced more challenge (CFA Institute, 2013). Under some circumstances, self regulation might not have enough ability to protect securities market safe and efficient (Larry Biagio, 2000). There were some brokers doubted that self regulation has adequate resources and capacity to surveillance of those activities, such as asymmetry of information, unnecessary conflict of interest and insider trading, that may harm the securities market and reduce investors confident (Carlos M Carlos A, 2009). Asymmetry of information and insider trading appears in the securities market especially the industry under the monopoly or oligopoly that will harm both financial markets and investors (Peter Keith, 2007). For example, company managers who manipulates accounting numbers is engaged in in sider trading that can reduce liquidity of securities markets. And monopoly market also creates information asymmetry among perpetrators and other investors through controlling share prices, wash sales and matched order which were under a more complicate way compare with several years ago (Adam C. Stephen J, 2005). Not only for those outside investors but also for some SROs, they may difficult to surveillance the insider trading because it is camouflage in many different methods (CFAShow MoreRelatedSelf Regulation Pl Problem Description2255 Words   |  10 PagesSELF-REGULATION PLAN Problem Description You would think that being in college and having homework would go hand in hand, however, I believe in the contrary considering most college students find ways around completing assignments, do not do them in general, or may even put in minimal effort just to get the points. 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