Views on the integrity of global capital markets

Jon Stokes

54 Posts

Biography

Jon Stokes is the director of ethics education at CFA Institute. He is responsible for development and maintenance of the CFA Institute Code and Standards, as well as the design and management of the CFA Institute Ethical Decision Making training programs. Stokes holds a JD degree.

Author's Posts
Ethics in Practice: Violated Professional Standards or Not? Case for Week of 21 May

Determining whether someone has violated standards of professional conduct is not always black and white. Read on and decide what you think of both analysts’ actions in this week’s case.

Ethics in Practice: Comment on Facebook Your Responsibility? Case for Week of 14 May and Analysis

New platforms for getting communications out to clients and prospective clients can introduce potential challenges.

Ethics in Practice: Valuing Assets and Calculating Fees. Case for Week of 7 May and Analysis

Members of CFA Institute must abide by our Standards of Professional Conduct. Read on to practice your ability to apply the standards in a real-life situation.

Ethics in Practice: Good Advice to Move Retirement Funds? Case Analysis Now Included

Those in the financial services industry should be especially dedicated to keeping their ethical decision-making skills sharp because of the trust that investors’ put in them. Read on to practice your ethical decision making.

Ethics in Practice: Compliant with Record Retention Standard? Case Analysis Now Included

Are you keeping up with your ethical exercise? Keep your ethical “muscles” in shape with these weekly ethics cases that involve a variety of situations and people.

Ethics in Practice: Conflict of Interest or Not? Case for Week of 16 April & Analysis

Sometimes ethical situations can arise through in unexpected places, such as in conversations over lunch about recommendations for an investment advisor. Get your ethical exercise as you read and assess this week’s case.

Ethics in Practice: Material and Nonpublic Info or Not? Case Analysis Now Included

CFA Institute members and candidates have to abide by the Code and Standards, but sometimes the right course of action to do so is not clear. Read on to practice your ethical decision-making skills.

Ethics in Practice: Capitalizing on Tax Benefits Is OK, Right? Case Analysis Now Included

Asset managers face many decisions when taking care of their clients’ portfolios, and sometimes choosing the best investments can present ethical dilemmas. Read this week’s case for an example.

Ethics in Practice: Leaving Firm and Telling People Why! Case Analysis Now Included

There are many reasons why someone would decide to leave an employer, but the question is how much is okay to share with others, especially clients, about the reasons for leaving?

Ethics in Practice: Doing Enough to Protect Clients? Case Analysis Now Included

This week’s case presents a very real-world situation that we read about in the news often — getting hacked and clients’ confidential information being stolen.

Ethics in Practice: Different Service for Different Clients? Case for Week of 12 March: Analysis Posted!

Some clients may demand to be treated differently. But where is the line between that being all right and crossing ethical boundaries?

Ethics in Practice: Is It OK to Just Quietly Fix Error in Model? Case for Week of 5 March

Practicing your ethical decision-making skills will help you be better equipped to handle dilemmas that arise in your world, especially ones that pop up unexpectedly.

Ethics in Practice: Designation Is Like a Degree, Right? Case for Week of 26 February

Professional organizations have guidelines for using designations that you earn, and CFA Institute is no different. Do you know what is expected of a CFA charterholder? Read on to learn more.

Ethics in Practice: When Is Scrutinizing Risk Not Enough? Case for Week of 19 February

Time to get your ethical exercise! Read on and let us know what you think of this portfolio manager’s actions.

Ethics in Practice: Stick to IPS during Volatile Markets? Case for Week of 12 February

Clients’ investment policy statements (IPSs) govern how an adviser invests their money. But what should advisers do during volatile markets, especially when also looking out for their personal investments?



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