Glenn Doggett, CFA, was a director of professional standards for CFA Institute. His responsibilities included providing member guidance in applying the ethics and standards of practice policies, supporting related educational and public awareness activities, and working with the Standards of Practice Council of CFA Institute on its initiatives. He was a co-host of the free, live, interactive webinars used by CFA Institute to promote ethical decision making and global best practices. Previously, Mr. Doggett, as a member of the CFA Institute Financial Reporting Policy Group, represented membership interests regarding reporting and disclosures initiatives, including XBRL. Prior to joining CFA Institute, he worked in the financial information sector with SNL Financial, where he focused on the real estate and energy industries, directing the development and maintenance of a financial data storage system. Mr. Doggett holds a BA in economics from the University of Virginia. He was awarded the CFA charter in 2006 and is a member of CFA Society Virginia.
The Standards of Practice Council wants to hear from you about the potential impact of artificial intelligence on the CFA Institute Code of Ethics and Standards of Professional Conduct. Consultation open until 29 March.
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.
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