Views on improving the integrity of global capital markets

Jon Stokes

83 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: 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.

Ethics in Practice: Disclose Investigation to CFA Institute? Case and Analysis

Check out this week’s case that considers the actions of a CFA Institute member when filing his annual professional conduct statement.

Ethics in Practice: Expenses Billable or Not Billable? Case and Analysis–Week of 23 July

Billing clients for expenses accrued in the normal course of business is standard practice, but what expenses should not be billed back? Read on to practice your ethical decision-making skills.

Ethics in Practice: Sharing CFA® Exam Experience Is Fine, Right? Case and Analysis

The CFA Institute Standards of Professional Conduct guide our member’s behavior, but how well do you know them? Read on to practice applying them to a real-life situation.

Ethics in Practice: Does Trade Execution Venue Matter? Week of 9 July Case and Analysis

Regularly reviewing and analyzing situations that involve possible misconduct will help you keep standards of professional conduct well in mind as you conduct your own business.

Ethics in Practice: Longtime Customers Can Be Trusted, Right? Case and Analysis

Ethical dilemmas that involve people we have known for a long time professionally, personally, or both can be especially challenging to discern.

Ethics in Practice: Tell Potential Client of Staff Change? Case and Analysis

Check out this week’s case and continue to practice analyzing real-world ethical situations and determining how the CFA Institute Standards of Professional Conduct may apply.

Ethics in Practice: Using Info for Fund and Personal Accounts OK? Case and Analysis

Discerning when a choice has strayed into unethical territory is not always clear. Analyzing scenarios and practicing your ethical decision making will help you hone your skills.

Ethics in Practice: Loyalty to Firm or Clients’ Interests First? Case Analysis Now Included

Sometimes firms ask their portfolio managers to sell proprietary investment products, but when does that request become an ethical dilemma?

Ethics in Practice: Doing Too Much to Make Investments a Success? Case Analysis Now Included

Investment managers need to always act ethically, which helps to continue building trust in the industry. Read on to practice your ethical decision making to keep your skills sharp.

Ethics in Practice: Just Building Client Relationships? Case for Week of 28 May and Analysis

Building a business in different markets can be a challenge, but doing so needs to be ethical. Check out this week’s case and decide whether the CEO’s behavior was appropriate or not.

Ethics in Practice: Violated Professional Standards or Not? Case Analysis Now Included

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.



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