Views on improving the integrity of global capital markets

Standards, Ethics and Regulations (SER)


Ethics in Practice: Sharing CFA® Exam Experience Is Fine, Right? Case and Analysis

The CFA Institute Standards of Professional Conduct guide our member’s behavior, but how well do you know them? Read on to practice applying them to a real-life situation.

Ethics in Practice: Does Trade Execution Venue Matter? Week of 9 July Case and Analysis

Regularly reviewing and analyzing situations that involve possible misconduct will help you keep standards of professional conduct well in mind as you conduct your own business.

Ethics in Practice: Longtime Customers Can Be Trusted, Right? Case and Analysis

Ethical dilemmas that involve people we have known for a long time professionally, personally, or both can be especially challenging to discern.

Inline XBRL

On 28 June 2018, the US Securities & Exchange Commission voted to adopt amendments to its rules and forms to require the use of the Inline eXtensible Business Reporting Language (XBRL) format for the submission of financial statement information of operating companies and mutual funds

Ethics in Practice: Tell Potential Client of Staff Change? Case and Analysis

Check out this week’s case and continue to practice analyzing real-world ethical situations and determining how the CFA Institute Standards of Professional Conduct may apply.

Ethics in Practice: Using Info for Fund and Personal Accounts OK? Case and Analysis

Discerning when a choice has strayed into unethical territory is not always clear. Analyzing scenarios and practicing your ethical decision making will help you hone your skills.

Ethics in Practice: Loyalty to Firm or Clients’ Interests First? Case Analysis Now Included

Sometimes firms ask their portfolio managers to sell proprietary investment products, but when does that request become an ethical dilemma?

Ethics in Practice: Doing Too Much to Make Investments a Success? Case Analysis Now Included

Investment managers need to always act ethically, which helps to continue building trust in the industry. Read on to practice your ethical decision making to keep your skills sharp.

Ethics in Practice: Just Building Client Relationships? Case for Week of 28 May and Analysis

Building a business in different markets can be a challenge, but doing so needs to be ethical. Check out this week’s case and decide whether the CEO’s behavior was appropriate or not.

Ethics in Practice: Violated Professional Standards or Not? Case Analysis Now Included

Determining whether someone has violated standards of professional conduct is not always black and white. Read on and decide what you think of both analysts’ actions in this week’s case.

Structured Data: Benefits to Small Companies

CFA Institute believes the debate over US House of Representatives Bill HR 5054, Small Company Disclosure Simplification Act of 2018, should not focus on the cost increase of an outsourced, or “bolt-on,” service for producing XBRL-formatted reports.

Ethics in Practice: Comment on Facebook Your Responsibility? Case for Week of 14 May and Analysis

New platforms for getting communications out to clients and prospective clients can introduce potential challenges.

Ethics in Practice: Valuing Assets and Calculating Fees. Case for Week of 7 May and Analysis

Members of CFA Institute must abide by our Standards of Professional Conduct. Read on to practice your ability to apply the standards in a real-life situation.

Ethics in Practice: Good Advice to Move Retirement Funds? Case Analysis Now Included

Those in the financial services industry should be especially dedicated to keeping their ethical decision-making skills sharp because of the trust that investors’ put in them. Read on to practice your ethical decision making.

Ethics in Practice: Compliant with Record Retention Standard? Case Analysis Now Included

Are you keeping up with your ethical exercise? Keep your ethical “muscles” in shape with these weekly ethics cases that involve a variety of situations and people.



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