Views on the integrity of global capital markets
Peltz’s Tentative and Tenuous Triumph over P&G Points to Proxy Process Problems

Current proxy rules work against shareowners who are trying to vote in alternative and independent board members, but it is shortsighted of firms to ignore owners’ interests.

Ethics in Practice: Firm’s Funds Are Best Investment, Right? Case for Week of 20 November

It seems obvious that investment managers would prefer their firm’s funds over non-proprietary funds, and clients should expect that. But is it that straightforward?

US Treasury Report on Asset Management Affirms Position of CFA Institute

The asset management industry does not pose the same types of systemic risks to the economy as the banking industry does, and the US Treasury agrees.

Ethics in Practice: Just Being a Shrewd Investor. Case for Week of 13 November

All investment managers want to earn good returns, so why would they not leverage investment information they happen to hear or read about?

XBRL US Investor Forum Considers Ways to Mitigate the Cost of Structured Data

The use of structured data has the potential to simplify reporting burdens and make it easier for investors to access company data, but there are still challenges in its implementation.

Moving from Gray to Black and White: Improving Your Ethical Decision Making

Ethical behavior is not only best practice for the investment profession, but essential to good business.

Counting Proxy Votes of Registered Shares Needs Modernizing

Recent contested proxy vote at Proctor & Gamble highlights the antiquated approach to counting ballots from registered shareholders. The approach is bad corporate governance and needs to change.

Ethics in Practice: Do What I Do for Investment Success! Case for Week of 6 November

In this week’s case, you have to consider whether sharing your investment philosophy in a financial newsletter and encouraging people to follow it, especially if it helps them, is all that bad.

Ethics in Practice: Using Erasable Ink Is Fine, Right? Case for Week of 30 October

In this week's case, an analyst new to the firm is trying to be efficient and careful. But is it actually crossing ethical lines?

Ethics in Practice: Buying and Selling at Same Time OK? Case for Week of 23 October

In this week’s case, we have to consider whether what seems like just good customer service that an advisor is providing to his client actually strays into unethical behavior.

Revenue Reporting Changes: Early Adopters Help Raise Awareness of the Impact

Revised revenue recognition requirements become effective at the beginning of 2018, and early adopters are helping to expose the effect of the changes on amount, timing, and presentation of revenue.

Use of ESG Data in Investing Is Maturing, But Regional and Gender Differences Exist

CFA Institute surveyed its members about whether they are considering ESG factors in their investment process and to get a sense for any trends in the evolving ESG landscape.

Ethics in Practice: To Refer or Not Refer? Case for Week of 16 October

Keep up your ethical exercise by reading on to find out what this week’s ethical “workout” is about. Developing strong ethical decision making skills takes practice!

Ethics in Practice: Keep Up Your Ethical Exercise! Case for Week of 9 October

The ethical choice in a situation is not always clear or straightforward, so taking the time to exercise your ethical decision-making skills will help you when faced with a real ethical dilemma.

Ethics in Practice: Developing Your Ethical Decision-Making Skills

To promote “ethical exercise,” we are introducing a weekly Ethics in Practice cases to give you the opportunity to practice assessing and analyzing situations and making ethical decisions.



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