Practical analysis for investment professionals

Regulations Standards and Ethics


Book Review: Modern Compliance Volumes I and II

Modern Compliance is an ambitious undertaking that brings together the myriad complexities of governing the investment professional.

Global Third-Party Research: An Industry in Crisis?

As research coverage stagnates globally, Europe sees a MiFID II blip.

Screams from a Burning Theater: Jeremy Gold on the Retirement Crisis

“Where are the screaming actuaries yelling in these burning theaters?” Jeremy Gold once asked. Gold passed away earlier this month, leading Heidi Raubenheimer, PhD, CFA, to recall his words and reflect on the state of the retirement crisis.

New Insights on the Trust Crisis in Finance

Research shows that trust in the finance sector is on the rise around the globe.

How Can Investment Professionals Build Trust?

What are the building blocks, the practical strategies, with which investment professionals can establish client relationships based on authentic trust? A new Future of Finance study has some answers. Robert Stammers, CFA, explains.

Forest Crimes: Are Investors Aware of Related Financial Risks?

What is your organization doing to make sure its supply chain is forest-crime free? The litigation risks are real.

Top Five Articles from May: Chart Crimes, Investing Lessons from Mom, and the Invisible Octopus

Does the CFA charter add value? Why does everyone hate finance and what can be done about it? The leading Enterprising Investor posts from May address these questions and more.

What Can Save Capitalism from a Medici Cycle?

Is it desirable, or even possible, for markets to operate without government oversight?

Top 10 Steven Eisman Quotes from Hong Kong

“I don’t see any financial crisis in the near future," Steven Eisman told delegates at the 71st CFA Institute Annual Conference.

Financial Misconduct Trends: Conflicts of Interest and False Performance Claims

What are the current trends in financial industry conduct cases and what can investment professionals do to mitigate ethical risks? Financial compliance expert Jeffrey Stith shares his insights with Crystal Detamore.



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