Views on the integrity of global capital markets

Standards, Ethics and Regulations (SER)


Ethics in Practice: Compliant with Record Retention Standard? Case for Week of 23 April

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.

Ethics in Practice: Conflict of Interest or Not? Case for Week of 16 April & Analysis

Sometimes ethical situations can arise through in unexpected places, such as in conversations over lunch about recommendations for an investment advisor. Get your ethical exercise as you read and assess this week’s case.

Ethics in Practice: Material and Nonpublic Info or Not? Case Analysis Now Included

CFA Institute members and candidates have to abide by the Code and Standards, but sometimes the right course of action to do so is not clear. Read on to practice your ethical decision-making skills.

Ethics in Practice: Capitalizing on Tax Benefits Is OK, Right? Case Analysis Now Included

Asset managers face many decisions when taking care of their clients’ portfolios, and sometimes choosing the best investments can present ethical dilemmas. Read this week’s case for an example.

Ethics in Practice: Leaving Firm and Telling People Why! Case Analysis Now Included

There are many reasons why someone would decide to leave an employer, but the question is how much is okay to share with others, especially clients, about the reasons for leaving?

Ethics in Practice: Doing Enough to Protect Clients? Case Analysis Now Included

This week’s case presents a very real-world situation that we read about in the news often — getting hacked and clients’ confidential information being stolen.

Ethics in Practice: Different Service for Different Clients? Case for Week of 12 March: Analysis Posted!

Some clients may demand to be treated differently. But where is the line between that being all right and crossing ethical boundaries?

Ethics in Practice: Is It OK to Just Quietly Fix Error in Model? Case for Week of 5 March

Practicing your ethical decision-making skills will help you be better equipped to handle dilemmas that arise in your world, especially ones that pop up unexpectedly.

Ethics in Practice: Designation Is Like a Degree, Right? Case for Week of 26 February

Professional organizations have guidelines for using designations that you earn, and CFA Institute is no different. Do you know what is expected of a CFA charterholder? Read on to learn more.

Time to Focus on the Forgotten Middle across Financial vs. Non-Financial Information Spectrum

The nature of company information reported outside the primary financial statements can be thought of as falling along a financial to nonfinancial information continuum.

Ethics in Practice: When Is Scrutinizing Risk Not Enough? Case for Week of 19 February

Time to get your ethical exercise! Read on and let us know what you think of this portfolio manager’s actions.

Ethics in Practice: Stick to IPS during Volatile Markets? Case for Week of 12 February

Clients’ investment policy statements (IPSs) govern how an adviser invests their money. But what should advisers do during volatile markets, especially when also looking out for their personal investments?

This Ain’t Your Daddy’s Capitalism, and That Ain’t Such a Bad Thing

Neither unicorns nor unfettered capitalism are real. You need to stretch the definition of a unicorn to claim they were ever real, and capitalism with constraints just leaves you in a Hobbesian nightmare that wouldn’t be good for anyone.

What Is Next for Keppel Corporation in the Aftermath of the Bribery Scandal?

Organizations need to understand what drives behavior and work to instill a true ethical mindset in their leaders and employees.

Ethics in Practice: Raising Capital with Digital Assets? Case for Week of 5 February

Different ways of doing business and paying for it are evolving in all industries, particularly in finance. But are there ethical or professional conduct concerns that need to be considered?



By continuing to use the site, you agree to the use of cookies. more information

The cookie settings on this website are set to "allow cookies" to give you the best browsing experience possible. If you continue to use this website without changing your cookie settings or you click "Accept" below then you are consenting to this.

Close