Views on the integrity of global capital markets

Standards, Ethics and Regulations (SER)


Role of External Factors in Ethical Behavior: Openness and Enforcement

The fourth and final in a series of posts looking at factors that influence, either positively or negatively, people's behavior, and in particular their ethical behavior at work.

Role of External Factors in Ethical Behavior: Commitment and Transparency

Organizations that treat their employees with respect as well as give them space to observe their own and other’s behavior foster an environment of ethical behavior and decision making.

Role of External Factors in Ethical Behavior: Role-Modeling and Goal Achievability

Leaders need to model the ethical behavior they expected from people in their organizations, and they need to equip their people well to be able to achieve organizational goals.

Role of External Factors in Ethical Behavior: Need for Clarity

Regulations alone cannot be expected to define the way investment professionals take care of their clients. Ethics and ethical decision making are essential.

Asset Owners Voice Their Strong Support of the Asset Manager Code

For the second straight year, CFA Institute sponsored an open letter from 16 influential asset owners calling for asset managers to comply with the Asset Manager Code.

Financial Choice Act’s Shareholder Resolution Threshold May Squelch Activity

Financial Choice Act would require shareowners that want to file a resolution at a company’s annual meeting to hold 1% of a company’s shares for three years to do so. Categories: Standards, Ethics and Regulations

Study Examines the Impact of Reporting Frequency

CFA Institute Study of UK companies found that companies still invested for the long term even after they were required to start reporting on a quarterly basis.

MiFID II: ESMA Races to Close the Systematic Internalisation Loophole

ESMA uses the existing rulebook to clarify the question of when systematic internalization activities cross over into functionally operating as a trading venue.

Competition Invites Innovative Ideas for Improving Ethics and Trust in Finance

Restoring trust in financial services and markets is an immense task that requires many actors to play an active, ongoing role, particularly young people.

2017 Edelman Trust Barometer Shows Overall Decline, But Financial Services Improves

The public has spoken loudly that it is having trouble trusting businesses to do the right thing, especially when it comes to putting the public’s interests before their own.

Sliding Down the Slippery Slope: Simplified Standards for Small Public Companies?

The reasons behind possibly extending account alternatives to public companies are different from when those alternatives were extended to private companies, and they are not the right reasons.

Future of the Global Economy? Experts at Investing Conference Say “Wait and See”

No one really knows at this point what impact President-elect Trump or the cabinet that he puts together will have on the global economy, capital markets, or financial industry.

Regulators Have a “Wait and See” Attitude About Regulating Fintech

Regulators welcome developments in fintech, but it is less clear how the technology should be regulated and whether new regulations are even needed

DOL Fiduciary Rule — What’s Happening Now and Its Possible Future

The future of the DOL rule is somewhat uncertain, but the changes probably won’t happen fast and the rule may actually already be established. Categories: Fiduciary Duty; Standards, Ethics, and Regulations (SER)

CFA Institute Asset Manager Code Gives Firms Head Start on Operational Due Diligence

Thorough, independent operational due diligence provides investors with a review of investment firms’ operational standards and the ethical conduct of its managers.



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