Views on the integrity of global capital markets

Jon Stokes

45 Posts


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: Doing Enough to Protect Clients? Case for Week of 19 March

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?

Ethics in Practice: Raising Capital with Digital Assets? Case for Week of 5 February

Different ways of doing business and paying for it are evolving in all industries, particularly in finance. But are there ethical or professional conduct concerns that need to be considered?

Ethics in Practice: Just Protecting Client’s Assets. Case for Week of 29 January

An ethical dilemma can sneak up on you, even when you are diligently taking care of your clients. So, practicing ethical decision making is essential for when those times come along.

Ethics in Practice: Side Job in a Comedy Club is Fine, Right? Case for Week of 22 January

Ethical dilemmas can crop up in so many different scenarios, even ones that seem unrelated to our daily professional work. This week’s case explores one such scenario.

Ethics in Practice: Oh No! Accidental Facebook Post! Case for Week of 15 January

Can an honest mistake actually end up being an ethical or professional conduct violation? Read this week’s case and you decide.

Ethics in Practice: Performance, Footnotes and Benchmarks. Case for Week of 8 January

Determining whether choices have resulted in misconduct can be challenging, which is why practicing ethical decision making prepares you to make the right choice when faced with a dilemma.

Ethics in Practice: Guilty or Not Guilty Is the Question! Case for Next 3 Weeks

Determining whether misconduct has occurred can be a challenge, especially with limited information. But analyzing the situation with the CFA Institute Ethical Decision-Making Framework can help.

Ethics in Practice: Taking Care of Clients Is the Priority. Case for Week of 11 Dec.

Some advisers are very close to their clients, following all the big events in their lives and keeping their investments updated. If they know them so well, does it matter when paperwork gets updated?

Ethics in Practice: Futures, Feed Yards, and Furtive Actions. Case for Week of 4 Dec.

Ethical dilemmas come up in all different types of situations. This week's case looks at the manager-employee relationship and what responsibilities lie with each party, including the company.

Ethics in Practice: Personal vs. On-the-Job Investments. Case for Week of 27 Nov

An ethical dilemma can come up at any time, but does it really come into play when making moves in personal investment account while also working as an investment adviser?

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.