Views on improving the integrity of global capital markets

John Rogers, CFA

12 Posts


John Rogers, CFA, is the former president and CEO of CFA Institute.

Author's Posts
The Scourge of Insider Trading: Enforcement Not Enough — We Need an Improved Ethical Culture

The taint of insider trading threatens to derail investor trust in hedge funds and other alternative strategies. Is it time for a new level of self-examination by hedge fund bosses around compensation systems, ethical codes, and the culture of the firm itself?

SEC Delay: Postponing the Inevitable for Money Market Funds?

The stakes in the debate over money market funds (MMFs) — and the risk they pose to systemic risk — escalated further with the SEC’s recent announcement that it lacks votes to issue a public proposal.

CFA Institute Co-Sponsors Systemic Risk Council Led by Former Bank Regulator Sheila Bair

CFA Institute and the Pew Charitable Trusts join forces with former FDIC Chair Sheila Bair to launch the Systemic Risk Council (SRC). The SRC brings together experts in investments, financial markets regulation, policy making, and academia to offer seasoned opinions on the structuring of proper systemic risk oversight.

To Our Next Generation of Finance Leaders: Another Call for Integrity

Renowned Yale economist and best-selling author Robert J. Shiller recently issued a simple but important call for college graduates headed for careers in finance: “… never lose sight of the purposes and overriding social goals of finance.”

AIJ Investment Advisors: Made (off) in Japan

The unfolding scandal in Tokyo involving pension investment management firm AIJ Investment Advisors Co. is depressingly predictable. Details are still emerging, but it appears that some $2.3 billion of client assets are unaccounted for. The pity is that it really doesn’t have to be this way.

Three Wise Monkeys: Lessons for the Investment Industry

Rummaging through my desk the other day, I found a set of little carved monkeys I’d picked up at a Hong Kong flea market years ago. They were the “see no evil, speak no evil, hear no evil” trio… READ MORE ›

Congressional Day Traders: Laws for Thee, But Not For Me

Monday marked the release of Peter Schweizer’s new book, Throw Them All Out, a non-fiction tale about the skullduggery of a group of well-connected insiders who used their positions and clout to obtain non-public information about imminent… READ MORE ›

Occupy Wall Street: The Beginning or the End?

What’s going on with the spontaneous move to occupy major financial centers? Is this the last gasp of disgust over the global financial crisis of  2008-09, or is it the first shot in a whole new war against finance?… READ MORE ›

The GIPS Standards — Truly a Global Standard

I was in Zurich last week at the Global Investment Performance Standards (GIPS®) Executive Committee meetings where I was able to participate in several days of interesting and fruitful discussions. As an active observer, it struck me how the… READ MORE ›

Global Ethics — the Road Ahead

I recently completed a very educational and encouraging round of meetings in the various markets in which CFA Institute has local membership groups, or “societies.”  What I’ve heard and experienced over the two-month-long process is remarkable… READ MORE ›

The Future of Finance Industry Ethics

This week I am in Buenos Aires, Argentina, for a couple of important reasons. First, this was the official inauguration of our new office serving Latin and South America. We enjoyed a wonderful evening with… READ MORE ›

A New Year’s Greeting from the Road

As I wrap up meetings with CFA Institute members here in India, many of my conversations have centered around investor trust and confidence in capital markets. This is especially apt given the local headlines about the fraud… READ MORE ›

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