Jon Stokes is the Director of Ethics and Standards Education at CFA Institute. His responsibilities include design and creation of on-line ethics education, development and maintenance of the CFA Institute Code of Ethics and Standards of Professional Conduct, and the design and management of the CFA Institute Ethical Decision-Making and Giving Voice to Values education programs. Stokes holds a JD degree.
The CFA Institute Standards of Professional Conduct guide our member’s behavior, but how well do you know them? Read on to practice applying them to a real-life situation.
Regularly reviewing and analyzing situations that involve possible misconduct will help you keep standards of professional conduct well in mind as you conduct your own business.
Ethical dilemmas that involve people we have known for a long time professionally, personally, or both can be especially challenging to discern.
Check out this week’s case and continue to practice analyzing real-world ethical situations and determining how the CFA Institute Standards of Professional Conduct may apply.
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.
Sometimes firms ask their portfolio managers to sell proprietary investment products, but when does that request become an ethical dilemma?
Investment managers need to always act ethically, which helps to continue building trust in the industry. Read on to practice your ethical decision making to keep your skills sharp.
Building a business in different markets can be a challenge, but doing so needs to be ethical. Check out this week’s case and decide whether the CEO’s behavior was appropriate or not.
Determining whether someone has violated standards of professional conduct is not always black and white. Read on and decide what you think of both analysts’ actions in this week’s case.
New platforms for getting communications out to clients and prospective clients can introduce potential challenges.