Views on the integrity of global capital markets

Standards, Ethics and Regulations (SER)


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.

Ethics in Practice: Performance, Footnotes and Benchmarks. Case for Week of 8 January

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.

Ethics in Practice: Guilty or Not Guilty Is the Question! Case for Next 3 Weeks

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.

Ethics in Practice: Taking Care of Clients Is the Priority. Case for Week of 11 Dec.

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?

Ethics in Practice: Futures, Feed Yards, and Furtive Actions. Case for Week of 4 Dec.

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.

Ethics in Practice: Personal vs. On-the-Job Investments. Case for Week of 27 Nov

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?

Ethics in Practice: Firm’s Funds Are Best Investment, Right? Case for Week of 20 November

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?

Ethics in Practice: Just Being a Shrewd Investor. Case for Week of 13 November

All investment managers want to earn good returns, so why would they not leverage investment information they happen to hear or read about?

Moving from Gray to Black and White: Improving Your Ethical Decision Making

Ethical behavior is not only best practice for the investment profession, but essential to good business.

Ethics in Practice: Do What I Do for Investment Success! Case for Week of 6 November

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.

Ethics in Practice: Using Erasable Ink Is Fine, Right? Case for Week of 30 October

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?

Ethics in Practice: Buying and Selling at Same Time OK? Case for Week of 23 October

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.

Ethics in Practice: To Refer or Not Refer? Case for Week of 16 October

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!

Ethics in Practice: Keep Up Your Ethical Exercise! Case for Week of 9 October

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.

Ethics in Practice: Developing Your Ethical Decision-Making Skills

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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