Ethical dilemmas come up in all different types of situations. This week's case looks at the manager-employee relationship and what responsibilities lie with each party, including the company.
CFA Institute is updating its Global Investment Performance Standards (GIPS®), and listening to stakeholders’ needs is key to evolving them to be truly universally applicable to all asset types.
SEC's published guidance for Rule 14a-8(i)(7) will affect the ability of issuers to exclude shareowner proposals from the proxy statement.
An ethical dilemma can come up at any time, but does it really come into play when making moves in personal investment account while also working as an investment adviser?
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?
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.
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.
All investment managers want to earn good returns, so why would they not leverage investment information they happen to hear or read about?
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.
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.
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.
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?
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.
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.
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