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?
All investment managers want to earn good returns, so why would they not leverage investment information they happen to hear or read about?
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.
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?
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.
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!
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.
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.
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.
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.
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.
Regulations alone cannot be expected to define the way investment professionals take care of their clients. Ethics and ethical decision making are essential.
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 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
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.