regulations

31 Posts

Five Reasons for a Uniform Fiduciary Standard

The Securities and Exchange Commission (photo courtesy of the Securities and Exchange Commission)

In order to have fair and transparent markets, all investors must feel confident that the investment advice, products, and services offered by investment professionals are not only suitable for them but also in their best interest. This can be accomplished by imposing a uniform fiduciary standard of care on all investment professionals that provide advice to clients. Read more

Leave a Comment

Ethics and Social Media: Four Key Considerations for Investment Professionals

Ethics and Social Media: Four Things Investment Professionals Should Think About (Illustration by Drawn Ideas)

While some governments have provided guidance to the investment industry about the use of social media, many countries have yet to issued regulations. Regardless of what local bodies dictate, the CFA Code of Ethics and Standards of Professional Conduct provides an excellent framework for investment professionals to consider when representing themselves or their businesses online. Read more

9 Comments