Glenn Doggett, CFA, is a director of professional standards for CFA Institute. His responsibilities include 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 is 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.
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?
Information is the lifeblood of global financial markets and the billions of investment decisions that play a critical role in those markets.
After more than a decade of XBRL use by governments and regulators globally, 2014 has brought additional advancements in the data-structuring technology.
Does working for a firm that has admitted or been found guilty of legal or regulatory violations conflict with a CFA charterholder’s duties?
Effective 1 July, the updated CFA Institute Code & Standards outline new requirements for supervisors and client communications.
Investors and financial services professionals agree there’s room to improve industry ethics, but financial services professionals less likely to view their firms as source of distrust.
Recent SEC charges against J.S. Oliver Capital Management and broker Instinet reveal that both soft dollar arrangements may be held accountable for misconduct.
As part of its Challenging Industry Norms series that debates critical issues facing the investment industry, CFA Institute teamed up with State Street to take a closer look at whether misaligned interests are transforming the investment profession.
As part of its Challenging Industry Norms series, CFA Institute teams up with State Street to examine whether misaligned interests are transforming the investment profession.
Insider trading charges against the former research analyst and alleged SAC tipper raises the question of when the sharing of "confidential" information constitutes insider trading.
During the Standards of Practice Handbook review, Standards of Practice Council members discussed whether there was sufficient emphasis on the need to clearly disclose important aspects of risks and limitations of the investment process.
Securities regulators in several jurisdictions are casting a stronger net to more aggressively identify and charge violators.
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