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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.

Ethics in Practice: Trading in Cryptocurrency OK? Case for Week of 13 August

Check out this week’s case that considers the actions of a CFA Institute member when filing his annual professional conduct statement.

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?

Empathetic Listening: A Six-Step Guide

As human financial advisers compete with passively managed index funds and robo-advisers, those who embrace empathetic listening can differentiate themselves and add value for their clients, says Marguerita Cheng, CFP, RICP.