Views on the integrity of global capital markets

Glenn Doggett, CFA

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58 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: Openness and Enforcement

The fourth and final in a series of posts looking at factors that influence, either positively or negatively, people's behavior, and in particular their ethical behavior at work.

Role of External Factors in Ethical Behavior: Commitment and Transparency

Organizations that treat their employees with respect as well as give them space to observe their own and other’s behavior foster an environment of ethical behavior and decision making.

Role of External Factors in Ethical Behavior: Role-Modeling and Goal Achievability

Leaders need to model the ethical behavior they expected from people in their organizations, and they need to equip their people well to be able to achieve organizational goals.

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?



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