Views on improving the integrity of global capital markets

Jon Stokes

79 Posts

Biography

Jon Stokes is the Director of Ethics and Standards Education at CFA Institute. His responsibilities include design and creation of on-line ethics education, development and maintenance of the CFA Institute Code of Ethics and Standards of Professional Conduct, and the design and management of the CFA Institute Ethical Decision-Making and Giving Voice to Values education programs. Stokes holds a JD degree.

Author's Posts
Ethics in Practice: Exchange Listing. Case for Week of 12 November

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Ethics in Practice: Billing Inaccuracies. Case and Analysis–Week of 5 November

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Ethics in Practice: Trade Allocation. Case and Analysis–Week of 29 October

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Ethics in Practice: Allocating Expenses. Case and Analysis–Week of 22 October

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Ethics in Practice: Elderly Investors. Case and Analysis–Week of 15 October

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Ethics in Practice: Disclosures on Twitter. Case and Analysis–Week of 8 October

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Ethics in Practice: Marketing Investment Services. Case and Analysis–Week of 1 October

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Ethics in Practice: Employment Disputes. Case and Analysis–Week of 24 September

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Ethics in Practice: Trading in Mutual Funds. Case and Analysis–Week of 17 September

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Ethics in Practice: Issuer-Paid Research. Case and Analysis–Week of 10 September

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Ethics in Practice: Client Promotion of Services. Case and Analysis–Week of 3 September

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Ethics in Practice: Trading Illiquid Securities. Case and Analysis–Week of 27 August

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Ethics in Practice: Assessing Hedge Funds for Investment. Case and Analysis–Week of 20 August

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Ethics in Practice: Trading in Cryptocurrency OK? Case and Analysis–Week of 13 August

The emergence of unregulated markets for trading cryptocurrencies may raise questions about whether professional standards of conduct still apply. Check out this week’s case for one such scenario.

Ethics in Practice: Right Reasons to Transfer Retirement Funds? Case and Analysis

When financial advisers are helping clients decide where to invest their retirement funds, it is so important for them to act ethically. Read on to practice your ethical decision making.



By continuing to use the site, you agree to the use of cookies. more information

The cookie settings on this website are set to "allow cookies" to give you the best browsing experience possible. If you continue to use this website without changing your cookie settings or you click "Accept" below then you are consenting to this.

Close