Standards, Ethics and Regulations (SER)
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.
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.
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.
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.
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?
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.
Some clients may demand to be treated differently. But where is the line between that being all right and crossing ethical boundaries?
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.
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.
The nature of company information reported outside the primary financial statements can be thought of as falling along a financial to nonfinancial information continuum.
Time to get your ethical exercise! Read on and let us know what you think of this portfolio manager’s actions.
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?
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.
Organizations need to understand what drives behavior and work to instill a true ethical mindset in their leaders and employees.
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?