Views on improving the integrity of global capital markets

Glenn Doggett, CFA

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59 Posts

Biography

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.

Author's Posts
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.

Can CFA Charterholders Work for Investment Firms with Records of Illicit Activity?

Does working for a firm that has admitted or been found guilty of legal or regulatory violations conflict with a CFA charterholder’s duties?

Promoting Ethics in Investment: CFA Institute Updates “Code & Standards”

Effective 1 July, the updated CFA Institute Code & Standards outline new requirements for supervisors and client communications.

Insider Trading: Ex-SAC Trader Verdict, Rejected SEC Charges Help Inform Debate

Recent legal cases provide greater clarity regarding what is considered insider trading.

Investor and Financial Industry Perceptions on Ethics: Is There a Disconnect?

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.

Instinet $800,000 Settlement: Diligence Important Within Soft Dollar Arrangements

Recent SEC charges against J.S. Oliver Capital Management and broker Instinet reveal that both soft dollar arrangements may be held accountable for misconduct.

Challenging Industry Norms: Investment Responsibilities of Trustees (Video)

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.

Challenging Industry Norms: The Shift from Short-Termism to Long-Term Performance (Video)

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.

Shades of Gray: SAC Capital Reignites Debate on What Is Insider Trading

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.

Standards of Practice Handbook Updated: “Significant” Risks, Limitations of the Investment Process

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.

From U.S. SEC to Japan’s FSA, Rule Enforcement Progress Benefits Investors

Securities regulators in several jurisdictions are casting a stronger net to more aggressively identify and charge violators.

Standards of Practice Handbook Update is Open for Public Comment

The Standards of Practice Handbook update is open for public comment through 30 September.



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