Practical analysis for investment professionals

Standards, Ethics & Regulations (SER)


Lie Detection for Investment Professionals: A Summary of Lying and Deceit Behaviors

Jason Voss, CFA, provides a summary of the major research about lying and deceit behaviors, including a brief overview of dozens of research papers.

Ethics and Social Media: Four Key Considerations for Investment Professionals

While some governments have provided guidance to the investment industry about the use of social media, many countries have yet to issued regulations. Regardless of what local bodies dictate, the CFA Code of Ethics and Standards of Professional Conduct provides an excellent framework for investment professionals to consider when representing themselves or their businesses online.

Take 15: Hedge Funds, A Stabilizing Force for the Financial System (Video)

Sebastian Mallaby makes the case that hedge funds are important providers of liquidity to financial markets and not a destabilizing threat to the financial system.

Libor Scandal Poll: What Did the BoE Know and When Did It Know It?

In a recent poll, 92% of the professional investors surveyed saw the Bank of England as complicit in the Libor scandal.

Understanding the LIBOR Scandal: Recommended Reading

The scandal surrounding Libor, the London Interbank Offered Rate, continues to sweep through global finance like wildfire — so much information, so little time for investment professionals to assess the facts. These seven recommended reads will help you home in on the essentials of this still-unfolding imbroglio concerning the global benchmark.

Social Impact Bonds: Turning the Recidivism Rate into an Internal Rate of Return

Is it possible to earn a return by investing in reducing recidivism among prisoners? The link between the economic activity of investing and the social problem of prisoners who are repeat offenders may be far from obvious, but the answer is yes, it is possible.

CFA Institute President and CEO John Rogers on the Global “Crisis of Confidence”

Topping off yesterday's celebration of 50 years of the CFA program, John Rogers, CFA, president and CEO of CFA Institute, took time to speak with Nightly Business Report about the global “crisis of confidence” in the investment profession.

13F Watch: What Ten Prominent Portfolio Managers Are Buying and Selling

A detailed review of 13F filings for the first quarter of 2012 reveal that, as a group, portfolio managers moved out of energy, utilities and consumer staples stocks and beefed up their holdings of technology, financial, and consumer discretionary stocks.

How to End Insider Trading: More Guidance and Fuller Disclosure

The easiest, least expensive, and most effective way to reduce information trafficking would be for public companies to be more open and honest with investors and shareholders.

Take 15: Dark Pools and Market Transparency

Frédéric Romand discusses the role of dark pools and their relative merits and drawbacks in the context of equity market investing. The importance of transparency and information quality is also addressed, along with efforts to achieve more consistent regulation.



By continuing to use the site, you agree to the use of cookies. more information

The cookie settings on this website are set to "allow cookies" to give you the best browsing experience possible. If you continue to use this website without changing your cookie settings or you click "Accept" below then you are consenting to this.

Close