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SEC Proposes New Conduct Rule for Broker/Dealers Offering Advice

As the US Department of Labor prepares to let its fiduciary duty rule die, the SEC recently proposed a new standard of conduct rule for broker/dealers who provide recommendations with respect to securities transactions, including investment strategies. Rejecting… READ MORE ›

Canadian ETFs: Capturing Investors’ Mind Space

Where are exchange-traded funds (ETFs) headed in Canada and around the world? Peter Haynes, CFA, weighs in.

Should RIAs Change Their Business Model?

Recent market bullishness could be masking unfavorable longer-term trends for registered investment advisers (RIAs).

Ethics in Practice: Using Info for Fund and Personal Accounts OK? Case for Week of 18 June

Discerning when a choice has strayed into unethical territory is not always clear. Analyzing scenarios and practicing your ethical decision making will help you hone your skills.

Alphabet Soup: What Does Artificial Intelligence Really Mean?

Two weeks ago, CFA Institute and the Asset Management Association of China invited me to host the Fintech Investment Forum in Hangzhou, China. The standout speaker on artificial intelligence (AI) was Dr. Noah Silverman, founder of, a consulting firm in Hong Kong.

4 Ways Millennials Can Avoid Following Their Passion

Lauren Friese, director of Workforce Innovation at RBC, makes a strong point about the ways that “passion” can set millennials up for failure.

Weekend Reads for Investors: Slight Hangover Edition

Jason Voss, CFA, shares stories about artificial intelligence (AI) hype, the mathematics of causation, and a real Transformer, among other topics.

Effective ESG Investing: An Interview with Andrew Parry

"Integrating ESG certainly does not harm and, in fact, is additive to value generation," says Andrew Parry of Hermes Investment Management.

Ethics in Practice: Loyalty to Firm or Clients’ Interests First? Case Analysis Now Included

Sometimes firms ask their portfolio managers to sell proprietary investment products, but when does that request become an ethical dilemma?

Food for Thought: An Insight into Japan’s Outlook

Japan's nominal GDP has increased, its unemployment rate has fallen, and return on equity measures are strong — why are investors not rushing into the country?