Standards, Ethics & Regulations (SER)

166 Posts

Systemic Risk and the Investment Professional

US Securities and Exchange Commission

Is the money management profession a source of systemic risk? Do the investment flows that we intermediate contribute to financial fragility? Might asset management firms, like banks, be “too big to fail”? Robert Jenkins, FSIP, a member of the Board of Governors of CFA Institute and a senior fellow at Better Markets, urges investment professionals to stand up and speak out. Read more

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Poll: Little Support for Buffett’s Abstention from Coca-Cola Vote

Thomas Piketty’s popular new book, “Capital in the Twenty-First Century,” has struck a chord with the public in part because of a growing disenchantment with the generous compensation packages lavished on corporate executives, so it was not without irony that last week 83% of Coca-Cola’sshareholders approved a controversial equity compensation plan for approximately 6,500 employees that had been widely panned as excessive. Read more

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A New Era of Fiduciary Capitalism? Let’s Hope So

Putting Investors First

Five years after the global financial crisis washed over us all, the future of finance is unclear. The debate continues over how to rebuild a financial system that is vibrant and dynamic, that serves society, and that won’t blow up and drag the whole world down every few years. From my perspective, a new era of capitalism is emerging out of the fog. What I define as fiduciary capitalism is gathering strength and needs to become the future of finance. Read more

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Poll: What Is the Best Way for Investment Professionals to Address Environmental Factors?

Nearly half of respondents believe the best way to address environmental issues is to “consider the risks, costs and potential opportunities . . . when analyzing investments.” Yet, around one-quarter of respondents think it is important to intervene earlier, and they support training in business school or in other educational programs those who want to enter the investment profession. Read more

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