Views on improving the integrity of global capital markets

Jon Stokes

136 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: 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?

Ethics in Practice: Firm’s Funds Are Best Investment, Right? Case for Week of 20 November

It seems obvious that investment managers would prefer their firm’s funds over non-proprietary funds, and clients should expect that. But is it that straightforward?

Ethics in Practice: Just Being a Shrewd Investor. Case for Week of 13 November

All investment managers want to earn good returns, so why would they not leverage investment information they happen to hear or read about?

Ethics in Practice: Do What I Do for Investment Success! Case for Week of 6 November

In this week’s case, you have to consider whether sharing your investment philosophy in a financial newsletter and encouraging people to follow it, especially if it helps them, is all that bad.

Ethics in Practice: Using Erasable Ink Is Fine, Right? Case for Week of 30 October

In this week's case, an analyst new to the firm is trying to be efficient and careful. But is it actually crossing ethical lines?

Ethics in Practice: Buying and Selling at Same Time OK? Case for Week of 23 October

In this week’s case, we have to consider whether what seems like just good customer service that an advisor is providing to his client actually strays into unethical behavior.

Ethics in Practice: To Refer or Not Refer? Case for Week of 16 October

Keep up your ethical exercise by reading on to find out what this week’s ethical “workout” is about. Developing strong ethical decision making skills takes practice!

Ethics in Practice: Keep Up Your Ethical Exercise! Case for Week of 9 October

The ethical choice in a situation is not always clear or straightforward, so taking the time to exercise your ethical decision-making skills will help you when faced with a real ethical dilemma.

Ethics in Practice: Developing Your Ethical Decision-Making Skills

To promote “ethical exercise,” we are introducing a weekly Ethics in Practice cases to give you the opportunity to practice assessing and analyzing situations and making ethical decisions.

Asset Owners Voice Their Strong Support of the Asset Manager Code

For the second straight year, CFA Institute sponsored an open letter from 16 influential asset owners calling for asset managers to comply with the Asset Manager Code.

CFA Institute Asset Manager Code: New Compliance Platform and Annual Notification

In a continuing effort to build market integrity, CFA Institute has made it easier and more efficient to adopt the Asset Manager Code. It will also begin requiring annual notification of compliance.

Our Asset Manager Code Meets Investor, Industry Needs, But Don’t Ask Us…

Pension plan sponsors, including CalSTRS, CalPERS, and PRIM, have signed a letter endorsing our Code. Its timing coincides with several of our initiatives, including Putting Investors First Month.

Protecting Older Investors a Growing Concern of Firms and Regulators

Aging population and shift from employer to individually directed retirement plans have placed “senior” investors in the spotlight.

Court Muddies Water on Insider Trading, but CFA Institute Code and Standards Are Clear

Despite courts’ waffling on insider trading, the CFA Institute Code and Standards are constant: If you know the information is material and not in the public domain, don’t trade or cause others to trade by disclosing it.

From Pope Francis to IMF Chief: “Capital Markets Should Benefit Society”

Updated CFA Institute Code of Ethics addresses larger purpose of capital markets and growing concerns about the role and effects of capitalism.



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