Asset Manager Code
Countries in the Asia-Pacific region are taking steps to encourage ethical practices at asset manager firms in their capital markets by promoting or adopting the CFA Institute Asset Manager Code.
For the second straight year, CFA Institute sponsored an open letter from 16 influential asset owners calling for asset managers to comply with the Asset Manager Code.
CFA Society Sri Lanka is working to improve financial market integrity. Its commitment to putting investors first, upholding the highest standards of ethics and business practices is exciting to see.
True or False: The principles of diligence and reasonable basis, addressed in our Code of Ethics and Standards of Practice, can apply to any investment strategy, any time, present or future.
Despite courts’ waffling on insider trading, the CFA Institute Code and Standards are constant: If you know the information is material and not in the public domain, don’t trade or cause others to trade by disclosing it.
Does working for a firm that has admitted or been found guilty of legal or regulatory violations conflict with a CFA charterholder’s duties?
MassPRIM CIO touts benefits of CFA Institute Asset Manager Code of Professional Conduct to investment managers and regulators in the Asia-Pacific region.
During a speech at the RCA's 2013 program on regulation, operations, and compliance, SEC commissioner Luis Aguilar highlighted the importance of compliance practices being developed and maintained in the interest of investors.
CFA Institute continually promotes strong personal responsibilities; the CFA Institute Integrity List offers 50 ways to restore investor trust and stresses the importance of members placing their clients’ interests before their own. When renowned British economist and chair of the Kay Review of U.K. Equity Markets and Long-Term Decision Making John Kay writes an editorial article on the topic, you know you are in good company.
In an interesting turn of events, the Securities and Exchange Board of India (SEBI) has announced that it needs to review its regulations that deal with front-running.