Views on the integrity of global capital markets

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.

Ethics in Practice: Capitalizing on Tax Benefits Is OK, Right? Case Analysis Now Included

Asset managers face many decisions when taking care of their clients’ portfolios, and sometimes choosing the best investments can present ethical dilemmas. Read this week’s case for an example.

Initial Coin Offerings: The Future of the Future of Finance

The question of whether the blockchain will end up as nothing or everything continues to be asked with no definitive answer as of yet.

Two Wrongs Don’t Make a Right

On 23 February, the Hong Kong Stock Exchange (HKEx) launched the second—and likely final—round of consultation before dual-class share (DCS) structures are expected to be introduced to the Hong Kong market later this year.

Ethics in Practice: Leaving Firm and Telling People Why! Case Analysis Now Included

There are many reasons why someone would decide to leave an employer, but the question is how much is okay to share with others, especially clients, about the reasons for leaving?

Ethics in Practice: Doing Enough to Protect Clients? Case Analysis Now Included

This week’s case presents a very real-world situation that we read about in the news often — getting hacked and clients’ confidential information being stolen.

NASAA Issues Survey for Investment Adviser Representatives Regarding Mandatory Continuing Education

The North American Securities Administrators Association (NASAA) has published a survey for investment adviser representatives (IARs) to collect opinions on the implementation of a continuing education program.

DOL Fiduciary Rule: Dead or Do-Over?

Although an appeals court ruling vacated the DOL's fiduciary duty rule, the debate is far from over.

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