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.
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.
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.
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.
Regulations alone cannot be expected to define the way investment professionals take care of their clients. Ethics and ethical decision making are essential.
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.
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.
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.
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.
No matter the quandary, our ethical decision-making framework — identify, consider, act, and reflect — can be applied.
As more institutional funds include questions about the Asset Manager Code in their RFPs, investment managers will further recognize the business rationale of compliance.
The public has until 14 September to comment on initial rules issued by the newly formed Center for Data Quality.
Investment professionals should assess their employer's rules before accepting client gifts and bonuses. CFA Institute also offers guidance.
Public views of banks and financial services remain largely unchanged while media ranks as the least-trusted institution in the survey.
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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