Can an honest mistake actually end up being an ethical or professional conduct violation? Read this week’s case and you decide.
Determining whether choices have resulted in misconduct can be challenging, which is why practicing ethical decision making prepares you to make the right choice when faced with a dilemma.
Determining whether misconduct has occurred can be a challenge, especially with limited information. But analyzing the situation with the CFA Institute Ethical Decision-Making Framework can help.
Some advisers are very close to their clients, following all the big events in their lives and keeping their investments updated. If they know them so well, does it matter when paperwork gets updated?
Ethical dilemmas come up in all different types of situations. This week's case looks at the manager-employee relationship and what responsibilities lie with each party, including the company.
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?
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?
All investment managers want to earn good returns, so why would they not leverage investment information they happen to hear or read about?
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.
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?
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.
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!
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.
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.
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