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 ›
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.
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.
CFA Institute believes the debate over US House of Representatives Bill HR 5054, Small Company Disclosure Simplification Act of 2018, should not focus on the cost increase of an outsourced, or “bolt-on,” service for producing XBRL-formatted reports.
New platforms for getting communications out to clients and prospective clients can introduce potential challenges.
Members of CFA Institute must abide by our Standards of Professional Conduct. Read on to practice your ability to apply the standards in a real-life situation.
Those in the financial services industry should be especially dedicated to keeping their ethical decision-making skills sharp because of the trust that investors’ put in them. Read on to practice your ethical decision making.
Are you keeping up with your ethical exercise? Keep your ethical “muscles” in shape with these weekly ethics cases that involve a variety of situations and people.
Sometimes ethical situations can arise through in unexpected places, such as in conversations over lunch about recommendations for an investment advisor. Get your ethical exercise as you read and assess this week’s case.
CFA Institute members and candidates have to abide by the Code and Standards, but sometimes the right course of action to do so is not clear. Read on to practice your ethical decision-making skills.
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