Views on the integrity of global capital markets

Glenn Doggett, CFA

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55 Posts

Biography

Glenn Doggett, CFA, is a director of professional standards at CFA Institute. His responsibilities include providing member guidance in applying the ethical and professional conduct standards of CFA Institute. In addition, Doggett is a specialist in XBRL.

Author's Posts
Role of External Factors in Ethical Behavior: Need for Clarity

Regulations alone cannot be expected to define the way investment professionals take care of their clients. Ethics and ethical decision making are essential.

2017 Edelman Trust Barometer Shows Overall Decline, But Financial Services Improves

The public has spoken loudly that it is having trouble trusting businesses to do the right thing, especially when it comes to putting the public’s interests before their own.

Demonstrating Ethical Conduct Is a Priority Throughout Investment Relationship

CFA Institute/Edelman survey of what investors want revealed that a commitment to ethical conduct and strong ethical standards are important not only to gain clients but also to keep them.

CFA Institute Standards: What Is Stance on Funds That Skip Traditional Analysis?

True or False: The principles of diligence and reasonable basis, addressed in our Code of Ethics and Standards of Practice, can apply to any investment strategy, any time, present or future.

Edelman Trust Barometer 2016: A Mixed Bag for Financial Services Sector

The 2016 Edelman Trust Barometer offers some good news and some bad when it comes to public trust in the financial services sector. Financial services ranked last in the 25-country survey; however, public trust in financial services has increased somewhat since 2012.

Ethical Decision-Making Skills: What Investment Managers Need to Know

No matter the quandary, our ethical decision-making framework — identify, consider, act, and reflect — can be applied.

1,200 Firms and Counting: Asset Manager Code Gains Global Foothold

As more institutional funds include questions about the Asset Manager Code in their RFPs, investment managers will further recognize the business rationale of compliance.

How to Improve XBRL Data Quality: Public Comment Period on Initial Rules Underway

The public has until 14 September to comment on initial rules issued by the newly formed Center for Data Quality.

Does Technology Test Ethical Foundation of the Investment Profession?

CFA Institute Poll: Nearly half say technology has led to increased ethical misconduct by investment professionals.

Gratitude or Bonus: How Investment Professionals Should Handle Offers from Clients

Investment professionals should assess their employer's rules before accepting client gifts and bonuses. CFA Institute also offers guidance.

Edelman Trust Barometer 2015: Finance Services Industry Still Has Room for Improvement

Public views of banks and financial services remain largely unchanged while media ranks as the least-trusted institution in the survey.

Hong Kong Regulator Brings in Outside Market Monitoring; SEC Considers Doing the Same

As regulators balance budget constraints with the need for proper market oversight, some are tapping external resources for support. Is it in the long-term interests of investors?

Aligning Ethical Conduct for Investment Committee Members’ Dual Roles

CFA Institute offers several resources to help investment committee volunteers carry out ethical obligations.

Reaffirming the Value of Independent Research for Trustworthy Capital Markets

Information is the lifeblood of global financial markets and the billions of investment decisions that play a critical role in those markets.

XBRL: The Sequel: How Regulators Are Advancing the Use of Structured Data

After more than a decade of XBRL use by governments and regulators globally, 2014 has brought additional advancements in the data-structuring technology.



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