Views on the integrity of global capital markets

Ethics in Practice: Futures, Feed Yards, and Furtive Actions. Case for Week of 4 Dec.

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.

Global Investment Performance Standards: Dispelling Compliance Cost, Verification Myths

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.

How Will SEC Guidance on Shareowner Proposals Play Out?

SEC's published guidance for Rule 14a-8(i)(7) will affect the ability of issuers to exclude shareowner proposals from the proxy statement.

Ethics in Practice: Personal vs. On-the-Job Investments. Case for Week of 27 Nov

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?

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?

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.

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.



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