Views on improving the integrity of global capital markets

Ethics


Revisions to the CFA Institute Code of Ethics and Standards of Professional Conduct

In 2023, the CFA Institute Board of Governors voted to revise the Standards of Professional Conduct in three areas. The changes became effective 1 January 2024.

GIPS Standards Verification Services, Part II: Case Analysis

Which of the newly adopted CFA Institute Standards of Professional Conduct were at issue in the Global Ethics Day Ethics in Practice case?

GIPS Standards Verification Services, Part I: Case Facts

Can you recognize which of the newly adopted CFA Institute Standards of Professional Conduct are at issue in the case?

From Likes to Investments: Our Response to the FCA Consultation on Financial Promotions via Social Media

Social media is borderless. Regulation is not. That's why global cooperation among regulators is necessary to deliver the best possible outcomes for consumers.

Ethics and Sustainability in Finance: Two Crucial Aspects To Fight Climate Change

Sustainable finance has received increasing attention from governments, organizations, and investors in recent years. New rules aiming to foster sustainable investments have been introduced in various jurisdictions, and many companies seem to be willing to prioritize sustainable… READ MORE ›

A Systemic Approach to Promoting Diversity

The following post summarizes some key ideas from a recent edition of the CFA Institute podcast The Sustainability Story.  CFA Institute Senior Director Matt Orsagh, CFA, CIPM, spoke with Deborah Gilshan, founder of the 100% Club… READ MORE ›

Franklin Templeton Case Highlights the Need to Improve Industry Risk Management Practices

The closure of the six Franklin Templeton (FT) schemes last year is, at its core, a failure of risk management, as amply illustrated in the Securities and Exchange Board of India’s (SEBI) recent order. But were these deficiencies specific to one firm, or can we take broader lessons for the Indian fund industry?

Securities and Exchange Board of India Raises the Bar for Ethical Conduct for the Indian Fund Industry

SEBI tackles novel and nuanced ethical issue by raising the threshold of what it considers acceptable executive behavior.

Two Months Left to Apply for US$20,000 Prize on Ethics and Trust in Finance for a Sustainable Future

The Ethics & Trust in Finance for a Sustainable Future, which is supported by CFA Institute and other organizations, is a global prize in its eighth cycle (awarded every two years) that will award winners a pool of US$20,000.

SEC’s Proposed Exemption for Finders Would Short-Change Investor Protection and Market Transparency

Finders with the right contacts among investors can play useful roles in bridging funding gaps. Unfortunately, however, the world of finders also has a dark side of fraudsters, market manipulators, and bad actors. The SEC's proposed exemption fails to acknowledge this.

Six Months Left to Apply for US$20,000 Prize on Ethics and Trust in Finance for a Sustainable Future

If you’re under 35 years old and have a strong opinion about the role of ethics in finance, CFA Institute invites you to submit an essay reflecting on the role of ethics to shape a more sustainable… READ MORE ›

India’s Broking Scandal and Its Aftermath Has Implications for Market Integrity and Efficiency

A brokerage scandal in India led to an immediate reform which did not go through a consultation process. The resulting rules have had a significant unintended impact on client experience, which has varied across brokerages.

Eight Months Left to Apply for US$20,000 Prize on Ethics and Trust in Finance for a Sustainable Future

Win US$20,000 for essay on Ethics and Trust in Finance for a Sustainable Future. Co-sponsored by CFA Institute.

Are You Under 35 and Have an Opinion on Ethics in Finance?

Call for those 35-years-old and under to apply for The Ethics & Trust in Finance for a Sustainable Future Prize worth US$20,000. Open to all global entrants.



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