Views on improving the integrity of global capital markets

Standards, Ethics and Regulations (SER)


CFA Institute Weighs in on Including Climate Change Analysis in the Investment Process

The CFA Institute report, Climate Change Analysis in the Investment Process, focuses on the physical and transition risks climate change is projected to create; explains to investors carbon markets; and reviews the resources available for investors looking for the best climate change integration tools.

Should the Financial System Be Worried — Again — About Investment Fund Leverage? A review of ESMA’s Recent Consultation on Article 25 of AIFMD

CFA Institute say the total size of assets under management is not a sufficiently clear-cut measure to declare that an asset management firm could be systemic just as a bank would be by looking at its balance sheet assets.

ESG Disclosure: Why Only the Development of a Global Standard Can Further Enhance Sustainability Practices in the Financial Sector

CFA Institute supports the “template” approach that the European Supervisory Authorities have taken ESG disclosures ensuring they are included in the description of adverse sustainability impact of investment decisions.

Ethics in Practice: Company Transparency During a Global Pandemic. Case and Analysis–Week of 11 May

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Ethics in Practice: Investment Research During a Global Pandemic. Case and Analysis–Week of 4 May

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Ethics in Practice: Managing Client Assets During a Global Pandemic. Case and Analysis–Week of 27 April

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Ethics in Practice: Trading on Pandemic Information. Case and Analysis–Week of 20 April

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Would Neil Woodford care for a Robert Burns Poem?

What were the issues that led to the spectacular downfall of Neil Woodford and the investment management firm he founded? And what can the investment industry learn from this most recent scandal?

Is the SEC Jeopardizing Financial Analyst Independence?

In recent weeks the Securities and Exchange Commission (SEC) has proposed regulations that in our view will undermine financial analyst independence. As an organization with long-standing leadership on analyst ethics and need for professional independence, we, CFA… READ MORE ›

Ethics in Practice: Working for Father. Case and Analysis–Week of 16 December

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Ethics in Practice: Mutual Fund Share Purchases. Case and Analysis–Week of 9 December

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

When It Is Smart to Say No: Exploring the Concept of Intelligent Disobedience

Learn about Intelligent Disobedience, a practical concept that explores how and when to disobey inappropriate orders and requests, with author Ira Chaleff.

Ethics in Practice: Taking the CFA Exam. Case and Analysis–Week of 2 December

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Ethics in Practice: Futures Trading. Case and Analysis–Week of 18 November

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Ethics in Practice: Investment Management Fees. Case and Analysis–Week of 11 November

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.



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