Views on improving the integrity of global capital markets

SEC’s Best Interest Vs. DOJ’s Fiduciary Rule

The SEC's attempts to finally address the issue of broker advice were a decidedly mixed bag.

Ethics in Practice: Trading in Cryptocurrency OK? Case for Week of 13 August

Check out this week’s case that considers the actions of a CFA Institute member when filing his annual professional conduct statement.

Capital Markets Union: Is There a Need for Further Integration of EU Markets?

Policymakers discussed why capital markets in the EU must be stronger and more integrated during the high-level conference, “The Future of Capital Markets in the EU: Towards Deeper Integration?,” organised by CFA Institute at the European Parliament.

Ethics in Practice: Right Reasons to Transfer Retirement Funds? Case and Analysis

When financial advisers are helping clients decide where to invest their retirement funds, it is so important for them to act ethically. Read on to practice your ethical decision making.

Ethics in Practice: Disclose Investigation to CFA Institute? Case and Analysis

Check out this week’s case that considers the actions of a CFA Institute member when filing his annual professional conduct statement.

Capital formation: It’s Still Happening… Somewhere.

Equity listed on public markets is the bedrock that underlies the valuation of many other growth assets, similar to the function sovereign debt plays for corporate bonds. It is also the focus of a huge amount of analysis (much of which is undertaken by CFA Institute members) and regulation.

Starving On the Vine – Our Protector of Investors Gets Short Changed

We need to invest more in the SEC so it can appropriately police the growing complexity of financial markets.

Ethics in Practice: Expenses Billable or Not Billable? Case and Analysis–Week of 23 July

Billing clients for expenses accrued in the normal course of business is standard practice, but what expenses should not be billed back? Read on to practice your ethical decision-making skills.

Ethics in Practice: Sharing CFA® Exam Experience Is Fine, Right? Case and Analysis

The CFA Institute Standards of Professional Conduct guide our member’s behavior, but how well do you know them? Read on to practice applying them to a real-life situation.

Artificial Intelligence: The Future Is Human

The lack of any coherent or precise definition of AI encourages the hype bubbles that we have seen with “fintech” and “blockchain”— all three concepts can mean almost anything depending on the interpretation.

MiFID II and Systematic Internalisers: If Only Someone Knew This Would Happen

It has been about seven months since the EU’s implementation of the Markets in Financial Instruments Directive (MiFID II) and some early results are starting to come in.

Ethics in Practice: Does Trade Execution Venue Matter? Week of 9 July Case and Analysis

Regularly reviewing and analyzing situations that involve possible misconduct will help you keep standards of professional conduct well in mind as you conduct your own business.

Ethics in Practice: Longtime Customers Can Be Trusted, Right? Case and Analysis

Ethical dilemmas that involve people we have known for a long time professionally, personally, or both can be especially challenging to discern.

Inline XBRL

On 28 June 2018, the US Securities & Exchange Commission voted to adopt amendments to its rules and forms to require the use of the Inline eXtensible Business Reporting Language (XBRL) format for the submission of financial statement information of operating companies and mutual funds

Ethics in Practice: Tell Potential Client of Staff Change? Case and Analysis

Check out this week’s case and continue to practice analyzing real-world ethical situations and determining how the CFA Institute Standards of Professional Conduct may apply.



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