Views on the integrity of global capital markets

Standards, Ethics and Regulations (SER)


Ethics in Practice: Firm’s Funds Are Best Investment, Right? Case for Week of 20 November

It seems obvious that investment managers would prefer their firm’s funds over non-proprietary funds, and clients should expect that. But is it that straightforward?

Ethics in Practice: Just Being a Shrewd Investor. Case for Week of 13 November

All investment managers want to earn good returns, so why would they not leverage investment information they happen to hear or read about?

Moving from Gray to Black and White: Improving Your Ethical Decision Making

Ethical behavior is not only best practice for the investment profession, but essential to good business.

Ethics in Practice: Do What I Do for Investment Success! Case for Week of 6 November

In this week’s case, you have to consider whether sharing your investment philosophy in a financial newsletter and encouraging people to follow it, especially if it helps them, is all that bad.

Ethics in Practice: Using Erasable Ink Is Fine, Right? Case for Week of 30 October

In this week's case, an analyst new to the firm is trying to be efficient and careful. But is it actually crossing ethical lines?

Ethics in Practice: Buying and Selling at Same Time OK? Case for Week of 23 October

In this week’s case, we have to consider whether what seems like just good customer service that an advisor is providing to his client actually strays into unethical behavior.

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



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