Views on the integrity of global capital markets

Standards, Ethics and Regulations (SER)


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.

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.



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