Views on the integrity of global capital markets

Ethics in Practice: Using Info for Fund and Personal Accounts OK? Case and Analysis

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.

SEC Proposes New Conduct Rule for Broker/Dealers Offering Advice

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 ›

Alphabet Soup: What Does Artificial Intelligence Really Mean?

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.

Ethics in Practice: Loyalty to Firm or Clients’ Interests First? Case Analysis Now Included

Sometimes firms ask their portfolio managers to sell proprietary investment products, but when does that request become an ethical dilemma?

Ethics in Practice: Doing Too Much to Make Investments a Success? Case Analysis Now Included

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.

Sustainable Finance: Cheap at Twice the Price?

The European Commission’s long-awaited legislative proposals on sustainable finance, released 24 May 2018, seek to position the EU and its investment management industry at the forefront of sustainable investing.

Ethics in Practice: Just Building Client Relationships? Case for Week of 28 May and Analysis

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.

Ethics in Practice: Violated Professional Standards or Not? Case Analysis Now Included

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.

Structured Data: Benefits to Small Companies

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.

Ethics in Practice: Comment on Facebook Your Responsibility? Case for Week of 14 May and Analysis

New platforms for getting communications out to clients and prospective clients can introduce potential challenges.

Ethics in Practice: Valuing Assets and Calculating Fees. Case for Week of 7 May and Analysis

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.

Ethics in Practice: Good Advice to Move Retirement Funds? Case Analysis Now Included

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.

Ethics in Practice: Compliant with Record Retention Standard? Case Analysis Now Included

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.

Ethics in Practice: Conflict of Interest or Not? Case for Week of 16 April & Analysis

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.

Ethics in Practice: Material and Nonpublic Info or Not? Case Analysis Now Included

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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