23 November 2012

State of the Financial Services Industry (Video)

Posted In: Standards, Ethics & Regulations (SER)

Paul Smith, CFA, managing director of the APAC region at CFA Institute, appeared on CNBC’s Squawk Box Tuesday to discuss new trends emerging in the financial services industry. It was the same day that the SEC announced charges in what may be the biggest-ever insider-trading job, and the host asked Smith whether it has been getting easier for regulators to identify insider trading. “Whistle-blowing is becoming a much more acceptable behavior,” Smith said. “People are much less afraid to speak out than they were.”

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Tags: ethics, Videos, Whistleblowing

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About the Author(s)

Jennifer Curry

Jennifer Curry formerly served as managing editor of the Enterprising Investor. Previously, she was the social media manager at the New York Society of Security Analysts (NYSSA). Prior to her work at NYSSA, Curry worked as the senior project editor for a nonfiction imprint at Barnes & Noble Publishing and as an assistant editor at the H.W. Wilson Company. She is the editor of several volumes in the Reference Shelf series, and her writing has appeared in Smithsonian, IndustryWeek, Barnes & Noble Review, and other publications. Curry holds a BS in journalism and a BA in anthropology from the University of Kansas, and an MA in anthropology from Hunter College, City University of New York.