The CFA Institute Standards of Professional Conduct guide our member’s behavior, but how well do you know them? Read on to practice applying them to a real-life situation.
It has been about seven months since the EU’s implementation of the Markets in Financial Instruments Directive (MiFID II) and some early results are starting to come in.
Regularly reviewing and analyzing situations that involve possible misconduct will help you keep standards of professional conduct well in mind as you conduct your own business.
Ethical dilemmas that involve people we have known for a long time professionally, personally, or both can be especially challenging to discern.
On 28 June 2018, the US Securities & Exchange Commission voted to adopt amendments to its rules and forms to require the use of the Inline eXtensible Business Reporting Language (XBRL) format for the submission of financial statement information of operating companies and mutual funds
Check out this week’s case and continue to practice analyzing real-world ethical situations and determining how the CFA Institute Standards of Professional Conduct may apply.
Discerning when a choice has strayed into unethical territory is not always clear. Analyzing scenarios and practicing your ethical decision making will help you hone your skills.
As the US Department of Labor prepares to let its fiduciary duty rule die, the SEC recently proposed a new standard of conduct rule for broker/dealers who provide recommendations with respect to securities transactions, including investment strategies. Rejecting… READ MORE ›
Two weeks ago, CFA Institute and the Asset Management Association of China invited me to host the Fintech Investment Forum in Hangzhou, China. The standout speaker on artificial intelligence (AI) was Dr. Noah Silverman, founder of Helios.ai, a consulting firm in Hong Kong.
Sometimes firms ask their portfolio managers to sell proprietary investment products, but when does that request become an ethical dilemma?
Investment managers need to always act ethically, which helps to continue building trust in the industry. Read on to practice your ethical decision making to keep your skills sharp.
Building a business in different markets can be a challenge, but doing so needs to be ethical. Check out this week’s case and decide whether the CEO’s behavior was appropriate or not.
Determining whether someone has violated standards of professional conduct is not always black and white. Read on and decide what you think of both analysts’ actions in this week’s case.
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