Research. Reviews. Ideas. Built for investment professionals.

Standards, Ethics & Regulations (SER)


How Firms Managing Only Pooled Funds Can Claim GIPS Compliance

The "Guidance Statement on Firms Managing Only Broad Distribution Pooled Funds" addresses how firms that manage only BDPFs can claim compliance with the GIPS standards.

AI’s Carbon Footprint: Balancing Innovation with Sustainability

The future of artificial intelligence (AI) should not just be smart, it must also be sustainable.

Take the SEC Marketing Rule Survey by 1 April  

How is your firm complying with the performance requirements of the SEC Marketing Rule?

Mike Tang, CFA, CPA, on Spin-Off Listings in Hong Kong SAR

What's the appeal of spin-offs in general and in Mainland China and Hong Kong SAR, in particular? KPMG partner Mike Tang, CFA, CPA, shares his insights.

Plan Sponsor Priorities for 2024: A Seven-Item Checklist

What topics in particular should defined contribution (DC) plan sponsors keep front of mind this year?

The Unspoken Conflict of Interest at the Heart of Investment Consulting

While investment consultants may claim their advice is conflict-free — and their clients may believe them — it is often heavily biased by the investment consultants' own self-interest.

GIPS Compliance by the Numbers

The numbers speak for themselves: GIPS compliance matters!

Revisions to the CFA Institute Code of Ethics and Standards of Professional Conduct

In 2023, the CFA Institute Board of Governors voted to revise the Standards of Professional Conduct in three areas. The changes became effective 1 January 2024.

Top 10 Posts from 2023: The 10 Greatest Investors, ChatGPT, and the Active Management Delusion

Enterprising Investor's most popular posts of the year include contributions from Mark J. Higgins, CFA, CFP, Larry Cao, CFA, Michinori Kanokogi, CFA, and Yoshimasa Satoh, CFA, among others.

Research and Policy Center Five Most Popular Articles of 2023: Sustainability

For sustainability-related content, readers clicked most on "Applying Economics — Not Gut Feel — to ESG" by Alex Edmans in 2023.