Views on improving the integrity of global capital markets

Glenn Doggett, CFA

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59 Posts


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
Piece of the Action: Exchanges Offer Research on Smaller Companies

The Australian Securities Exchange (ASX) is piloting a one-year program to fund research for firms that may not otherwise attract attention from traditional research outlets. In response to this growing trend, Glenn Doggett, CFA, discusses the importance of objective, independent research.

XBRL Resources to Whet Investor Appetites

XBRL Challenge winners build inventive and useful applications leveraging XBRL-formatted data to provide investors with better information for investment decisions.

2012 Edelman Trust Barometer: Financial Firms Fall Farther

Following a tumultuous year for global capital markets that saw the longest-ever insider trading sentence and the Olympus Corp. accounting scandal, public trust in the financial services sector has taken another hit, according to the findings of the 2012 Edelman Trust Barometer.

XBRL Should Mean More than Compliance Pain

The reporting technology known as eXtensible Business Reporting Language (XBRL) is gaining acceptance by regulators the world over. As this electronic reporting platform expands, it will enhance financial analysis by opening access to more and more data that was… READ MORE ›

Insider Trading: Big Time for “Victimless Crime”

The prison sentences handed down to Galleon founder Raj Rajaratnam — which, at 11 years, is the longest-ever sentence in an insider-trading case — and Incremental Capital and Galleon trader Zvi Gofer (10 years), should send a… READ MORE ›

FINRA Research Warning: No “Buy” for Investment Banking

If the 2003 analyst independence legal settlement wasn’t deterrent enough, FINRA recently issued a regulatory notice reminding firms to maintain a firewall between research and investment banking.

More warning than guidance, Regulatory Notice 11-41, released by FINRA on 14… READ MORE ›

Taking Stock: What Value Do Investment Professionals Add?

The third installment of the “Challenging Industry Norms” series, slated for next week’s annual Society Leaders Conference in Los Angeles, will tackle a provocative topic for our membership:  the value that investment managers derive for their clients…. READ MORE ›

Unlocking the Investor Benefits of XBRL

Several years ago, when then-Chairman of the U.S. Securities and Exchange Commission Christopher Cox advocated for the required tagging of financial disclosures by U.S. companies, both large and small investors were perceived as the main… READ MORE ›

It Remains Insider Trading

The jury deliberating the case of Winifred Jiau took little time in convicting the former employee of Primary Global Research, an expert network firm, with providing inside information to investors. This is another victory for the… READ MORE ›

An Ethically Sound Infrastructure

In late May, the Investor Steering Committee (ISC) of the Alternative Investment Management Association (AIMA) published A Guide to Institutional Investors’ Views and Preferences Regarding Hedge Fund Operational Infrastructure.  The AIMA Guide compiles the views of… READ MORE ›

Reputation or Information — Must One Choose?

Investment professionals spend years building their reputations with their clients and peers. Their hard work and diligence in conducting investment analysis may include periodic discussions with experts arranged through the myriad of placement networks. But with the recent READ MORE ›

SEC’s Small Comment on Expert Networks Has Big Impact

At the recent Annual IA Compliance Best Practices Seminar, the SEC offered some of its strongest language yet in clarifying its view of expert networks.

While the bulk of the speech by Carlo di Florio, director of the… READ MORE ›

Materiality — Is There a Line?

Against the backdrop of the start of the insider trading case against hedge fund manager Raj Rajaratnam, Baruch College’s Robert Zicklin Center for Corporate Integrity at the City University of New York (CUNY) hosted a symposium on Tuesday, 8… READ MORE ›

2011 Taxonomy Updates — Did You Notice?

For those working for accounting firms or public companies that file with the U.S. SEC, the regulator’s adoption of the 2011 U.S. GAAP Financial Reporting Taxonomy likely appeared on your radar. The same people likely took… READ MORE ›

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