Views on the integrity of global capital markets

Standards, Ethics and Regulations (SER)

Ethics in Practice: Doing Enough to Protect Clients? Case Analysis Now Included

This week’s case presents a very real-world situation that we read about in the news often — getting hacked and clients’ confidential information being stolen.

Ethics in Practice: Different Service for Different Clients? Case for Week of 12 March: Analysis Posted!

Some clients may demand to be treated differently. But where is the line between that being all right and crossing ethical boundaries?

Ethics in Practice: Is It OK to Just Quietly Fix Error in Model? Case for Week of 5 March

Practicing your ethical decision-making skills will help you be better equipped to handle dilemmas that arise in your world, especially ones that pop up unexpectedly.

Ethics in Practice: Designation Is Like a Degree, Right? Case for Week of 26 February

Professional organizations have guidelines for using designations that you earn, and CFA Institute is no different. Do you know what is expected of a CFA charterholder? Read on to learn more.

Time to Focus on the Forgotten Middle across Financial vs. Non-Financial Information Spectrum

The nature of company information reported outside the primary financial statements can be thought of as falling along a financial to nonfinancial information continuum.

Ethics in Practice: When Is Scrutinizing Risk Not Enough? Case for Week of 19 February

Time to get your ethical exercise! Read on and let us know what you think of this portfolio manager’s actions.

Ethics in Practice: Stick to IPS during Volatile Markets? Case for Week of 12 February

Clients’ investment policy statements (IPSs) govern how an adviser invests their money. But what should advisers do during volatile markets, especially when also looking out for their personal investments?

This Ain’t Your Daddy’s Capitalism, and That Ain’t Such a Bad Thing

Neither unicorns nor unfettered capitalism are real. You need to stretch the definition of a unicorn to claim they were ever real, and capitalism with constraints just leaves you in a Hobbesian nightmare that wouldn’t be good for anyone.

What Is Next for Keppel Corporation in the Aftermath of the Bribery Scandal?

Organizations need to understand what drives behavior and work to instill a true ethical mindset in their leaders and employees.

Ethics in Practice: Raising Capital with Digital Assets? Case for Week of 5 February

Different ways of doing business and paying for it are evolving in all industries, particularly in finance. But are there ethical or professional conduct concerns that need to be considered?

Corporate Reporting: Enabling a Long-Term Orientation in Investment Analysis

Several publications have exhorted regulatory authorities to craft policy interventions that incentivize a long-term analytical orientation of companies’ disclosures.

Ethics in Practice: Just Protecting Client’s Assets. Case for Week of 29 January

An ethical dilemma can sneak up on you, even when you are diligently taking care of your clients. So, practicing ethical decision making is essential for when those times come along.

The End of Accounting? Not So Sure

If the information within primary financial statements has had a sustained and troubling decline in its relevance, what's the way forward?

Ethics in Practice: Side Job in a Comedy Club is Fine, Right? Case for Week of 22 January

Ethical dilemmas can crop up in so many different scenarios, even ones that seem unrelated to our daily professional work. This week’s case explores one such scenario.

Ethics in Practice: Oh No! Accidental Facebook Post! Case for Week of 15 January

Can an honest mistake actually end up being an ethical or professional conduct violation? Read this week’s case and you decide.

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