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Ethics in Practice: Trading in Cryptocurrency OK? Case and Analysis–Week of 13 August

The emergence of unregulated markets for trading cryptocurrencies may raise questions about whether professional standards of conduct still apply. Check out this week’s case for one such scenario.

SEC Proposes to Restrict Broker/Dealer Use of “Adviser” Title

If the SEC adopts a rule as proposed, broker/dealers will no longer be able to use the term “adviser” or “advisor” in their names or titles when marketing themselves to investors.

SEC’s Best Interest vs. DOJ’s Fiduciary Rule

The SEC's attempts to finally address the issue of broker advice were a decidedly mixed bag.

Watch the Leverage!

“We’re transitioning into a very delicate and challenging time for fixed-income investing,” Anne Walsh, CFA, told the audience at the 63rd Annual Financial Analysts Seminar.

For Humans Only: Five Tips for Outstanding Customer Service

Artificial intelligence will change the world for customers across all industries, says Barbara Stewart, CFA. But a few things won’t ever change. People want respect.

Book Review: Modern Compliance Volumes I and II

Modern Compliance is an ambitious undertaking that brings together the myriad complexities of governing the investment professional.

Capital Markets Union: Is There a Need for Further Integration of EU Markets?

Policymakers discussed why capital markets in the EU must be stronger and more integrated during the high-level conference, “The Future of Capital Markets in the EU: Towards Deeper Integration?,” organised by CFA Institute at the European Parliament.

Ethics in Practice: Right Reasons to Transfer Retirement Funds? Case and Analysis

When financial advisers are helping clients decide where to invest their retirement funds, it is so important for them to act ethically. Read on to practice your ethical decision making.

Meeting the Challenges of Diversity and Inclusion

The main challenge lies not in diagnosing the issue of diversity in the workplace, but in addressing it.

Growth vs. Value: Waiting for GODOT

Is it time to start selling growth stocks and buying value stocks?