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.
Lehman's selective disclosure may not be insider trading, but it's just as egregious.
In an op-ed in the "New York Times," former Goldman exec Greg Smith penned a scathing indictment of what he claimed was an eroding culture of integrity at his old firm. Jon Stokes examines the impact on the investment profession as a whole.
A regulatory compliance program that is not centered on ethics and a strong ethical culture risks not being adequate or effective, according to Carlo V. di Florio, director of the U.S. SEC’s Office of Compliance Inspections and Examinations (OCIE). In a… READ MORE ›
A leading global organization working to promote good corporate governance practices recently recommended that asset holders ask investment firms to comply with requirements of the CFA Institute Asset Manager Code of Professional Conduct. The International Corporate Governance… READ MORE ›
At a recent compliance conference co-sponsored by CFA Institute, Board of Governors Vice Chair Alan Meder, CFA, CFP, challenged attendees to create a culture of integrity at… READ MORE ›
Does it matter to investors whether their financial advisers follow a fiduciary standard? The answer appears to be “No,” according to the J.D. Power 2011 U.S. Full Service Investor Satisfaction Study. READ MORE ›
Joanne Lipman’s recent Newsweek column “Are Ethics for Suckers?” strongly implies that Wall Street can’t help but lie, cheat, and steal. The “culture of success” in an arena where “alpha men and women” are “playing for super… READ MORE ›
It was an especially late night at work for former portfolio manager Donald Longueuil — one that lasted into the wee hours of the morning of 20 November 2010, according to U.S. prosecutors…. READ MORE ›