Views on improving the integrity of global capital markets

Search results for: ethics in practice

Revisions to the CFA Institute Code of Ethics and Standards of Professional Conduct

In 2023, the CFA Institute Board of Governors voted to revise the Standards of Professional Conduct in three areas. The changes became effective 1 January 2024.

GIPS Standards Verification Services, Part II: Case Analysis

Which of the newly adopted CFA Institute Standards of Professional Conduct were at issue in the Global Ethics Day Ethics in Practice case?

Ethics and Sustainability in Finance: Two Crucial Aspects To Fight Climate Change

Sustainable finance has received increasing attention from governments, organizations, and investors in recent years. New rules aiming to foster sustainable investments have been introduced in various jurisdictions, and many companies seem to be willing to prioritize sustainable… READ MORE ›

To Make Finance Sustainable We Must Look Beyond COP26

There’s a lot to be discovered in Glasgow, the host city of the 2021 United Nations Climate Change Conference (COP26). But there’s certainly no magic… READ MORE ›

Securities and Exchange Board of India Raises the Bar for Ethical Conduct for the Indian Fund Industry

SEBI tackles novel and nuanced ethical issue by raising the threshold of what it considers acceptable executive behavior.

Improving Investor Protection and Business Conduct in Covid Times: Can Industry and Regulators Work Together to Enhance Trust in Capital Markets?

Day two of the CFA Institute Financial Regulatory Symposium 2021 featured an in-depth discussion on these themes, and the measures that regulators can put in place to encourage ethical behavior.

ESG Disclosure: Why Only the Development of a Global Standard Can Further Enhance Sustainability Practices in the Financial Sector

CFA Institute supports the “template” approach that the European Supervisory Authorities have taken ESG disclosures ensuring they are included in the description of adverse sustainability impact of investment decisions.

Notes on the German EU Presidency

A German EU presidency is no normal presidency. We hope the following thoughts on priorities are a useful contribution at a time when the EU’s economic and financial response to the COVID-19 crisis has been under intense scrutiny.

How evolving ESG disclosure rules are altering investment dynamics in India

The ESG concept is picking up in India gradually. This year alone, two investment firms — Avendus and Quantum Advisors with three former Tata group employees — launched a $1 billion ESG fund in India.

In Financial Services, We Don’t Trust

Congress, regulators, and enforcement officials at all levels must help ensure public confidence and trust in the financial industry. In short, prompt enforcement based on effective regulations that penalize and deter wrongdoing is critical.

Ethics in Practice: Company Transparency During a Global Pandemic. Case and Analysis–Week of 11 May

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Ethics in Practice: Investment Research During a Global Pandemic. Case and Analysis–Week of 4 May

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Ethics in Practice: Managing Client Assets During a Global Pandemic. Case and Analysis–Week of 27 April

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Ethics in Practice: Trading on Pandemic Information. Case and Analysis–Week of 20 April

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Corporate culture and professionalism: Can COVID-19 spark regulators and the industry to take action?

Despite its severity, this crisis also could represent an opportunity for regulators and financial institutions to set out measures to address inappropriate culture and behaviors, which were the factors precipitating the 2008 global financial crisis that remain present in markets today.