Standards, Ethics and Regulations (SER)
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.
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.
Ethical dilemmas that involve people we have known for a long time professionally, personally, or both can be especially challenging to discern.
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
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.
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.
Sometimes firms ask their portfolio managers to sell proprietary investment products, but when does that request become an ethical dilemma?
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.
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.
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.
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.
New platforms for getting communications out to clients and prospective clients can introduce potential challenges.
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.
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.
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.