Views on improving the integrity of global capital markets
Ethics in Practice: Client Promotion of Services. Case and Analysis–Week of 3 September

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Ethics in Practice: Trading Illiquid Securities. Case and Analysis–Week of 27 August

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Investors to the Financial Accounting Standards Board: Segment Disclosures Need Improving

Segment reporting information is critical to investors. Despite the US GAAP standard on segment reporting being over 20 years old, the disclosures it produces remain challenging for investors who use the information and regulators who enforce the guidance. Recent… READ MORE ›

Ethics in Practice: Assessing Hedge Funds for Investment. Case and Analysis–Week of 20 August

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

Capital Markets Union: What is Missing to Solve the Puzzle?

In September 2015 the European Commission launched the Capital Markets Union (CMU) Action Plan with the aim of creating alternative sources of financing, that is, sources other than banking. Almost three years later this project is still incomplete,… READ MORE ›

Sustainable Finance in the EU: How Will It Revolutionise the Financial Sector?

The EC’s Action Plan was one of the main discussion topics of the high-level conference, “The Future of Capital Markets in the EU: Towards Deeper Integration?,” organised by CFA Institute at the European Parliament in Brussels on 6 June 2018.

Ethics in Practice: Trading in Cryptocurrency OK? Case and Analysis–Week of 13 August

The emergence of unregulated markets for trading cryptocurrencies may raise questions about whether professional standards of conduct still apply. Check out this week’s case for one such scenario.

SEC Proposes to Restrict Broker/Dealer Use of “Adviser” Title

If the SEC adopts a rule as proposed, broker/dealers will no longer be able to use the term “adviser” or “advisor” in their names or titles when marketing themselves to investors.

SEC’s Best Interest vs. DOJ’s Fiduciary Rule

The SEC's attempts to finally address the issue of broker advice were a decidedly mixed bag.

Capital Markets Union: Is There a Need for Further Integration of EU Markets?

Policymakers discussed why capital markets in the EU must be stronger and more integrated during the high-level conference, “The Future of Capital Markets in the EU: Towards Deeper Integration?,” organised by CFA Institute at the European Parliament.

Ethics in Practice: Right Reasons to Transfer Retirement Funds? Case and Analysis

When financial advisers are helping clients decide where to invest their retirement funds, it is so important for them to act ethically. Read on to practice your ethical decision making.

Ethics in Practice: Disclose Investigation to CFA Institute? Case and Analysis

Check out this week’s case that considers the actions of a CFA Institute member when filing his annual professional conduct statement.

Capital formation: It’s Still Happening… Somewhere.

Equity listed on public markets is the bedrock that underlies the valuation of many other growth assets, similar to the function sovereign debt plays for corporate bonds. It is also the focus of a huge amount of analysis (much of which is undertaken by CFA Institute members) and regulation.

Starving On the Vine – Our Protector of Investors Gets Short Changed

We need to invest more in the SEC so it can appropriately police the growing complexity of financial markets.

Ethics in Practice: Expenses Billable or Not Billable? Case and Analysis–Week of 23 July

Billing clients for expenses accrued in the normal course of business is standard practice, but what expenses should not be billed back? Read on to practice your ethical decision-making skills.



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