Views on improving the integrity of global capital markets

Ken Robinson, CFA, CIPM

8 Posts


Ken Robinson, CFA, CIPM, is a director of investment performance standards at CFA Institute. He helps maintain the GIPS standards by managing the interpretations process and developing guidance for new technical areas.

Author's Posts
We Want to Hear from You! Proposed GIPS Guidance Statement on Verifier Independence

The independence of a verifier assessing the correctness of performance reports is critical. The new GIPS® guidance statement from CFA Institute further clarifies this important role.

SEC Examination Interview: What Portfolio Managers and Research Analysts Need to Know

In an SEC examination prompted by aberrations in investment performance, portfolio managers need to articulate their investment strategy and how it’s being implemented.

Office of Compliance Inspections and Examinations—Eyes and Ears of the SEC

The OCIE at the SEC takes a transparent, risk-based, and data driven approach in examining whether registered firms are complying with SEC rules and regulations.

FINRA’s Role in Regulating Financial Services Advertising: Challenge of Social Media

FINRA’s Advertising Regulation Department is tasked with reviewing firms’ communications and faces challenges in keeping up with the changes social media has brought to the arena.

Understanding Investor Behavior and Managing Risk (Video)

Dan diBartolomeo discusses behavioral aspects of risk in financial markets, including how individual behavior shapes the way industry deals with risk and common risk measures that are potentially useful but often misunderstood.

The Role of Data Analytics in SEC Fraud Investigations

How the SEC uses data analytics in the post-Madoff era to detect fraud, including front running, insider trading, and fraudulent investment performance reporting.

Keeping Pace with the Ever-Evolving GIPS Standards

Attend the GIPS Standards Annual Conference for a comprehensive update on the GIPS standards and the latest investment performance measurement developments.

GIPS Standards – Enhancing Verification Guidance

The GIPS standards were created and sponsored by CFA Institute in collaboration with the global investment community. They are broadly accepted, voluntary global ethical standards for calculating and presenting investment performance. The standards promote fair representation and full… READ MORE ›

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