Views on improving the integrity of global capital markets

Asset Manager Code


Asset Manager Code Recognized as Best Practice by International Corporate Governance Network

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 ›

Fighting the Dark Angels

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 ›

Insider Trading: Big Time for “Victimless Crime”

The prison sentences handed down to Galleon founder Raj Rajaratnam — which, at 11 years, is the longest-ever sentence in an insider-trading case — and Incremental Capital and Galleon trader Zvi Gofer (10 years), should send a… READ MORE ›

Wall Street: “Bloodsuckers” Unite

“If you see something, say something.” That has become the mantra of security organizations worldwide, drawing millions of additional eyes and ears into the struggle to keep the world safe. The same should apply to the financial services industry…. READ MORE ›

EU Alternative Investment Funds Regulation: Still No Respite for Regulators and Fund Managers

After two years of negotiations among the European Commission, European Parliament, and Council of the European Union (composed of representatives of the 27 EU member states) as well as intense industry lobbying, the much-debated Alternative Investment… READ MORE ›

An Ethically Sound Infrastructure

In late May, the Investor Steering Committee (ISC) of the Alternative Investment Management Association (AIMA) published A Guide to Institutional Investors’ Views and Preferences Regarding Hedge Fund Operational Infrastructure.  The AIMA Guide compiles the views of… READ MORE ›

Responding to Fallout from the Financial Crisis

The financial crisis and collapsing asset values have led to a substantial loss of trust by investors in both their investment managers and massive regulatory reform efforts. Whether the magnitude of these responses is warranted has been… READ MORE ›

Global Ethics — the Road Ahead

I recently completed a very educational and encouraging round of meetings in the various markets in which CFA Institute has local membership groups, or “societies.”  What I’ve heard and experienced over the two-month-long process is remarkable… READ MORE ›

The Future of Finance Industry Ethics

This week I am in Buenos Aires, Argentina, for a couple of important reasons. First, this was the official inauguration of our new office serving Latin and South America. We enjoyed a wonderful evening with… READ MORE ›

A Network of Insiders

The now highly-visible insider trading probe on Wall Street is shining a harsh spotlight on “expert networks.” Relatively new to the investment research landscape, these networks offer access to experts across various industry sectors — medicine, biotech, technology, and… READ MORE ›



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