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.
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.
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!
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.
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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