Determining whether choices have resulted in misconduct can be challenging, which is why practicing ethical decision making prepares you to make the right choice when faced with a dilemma.
CFA Institute urges three approaches that will clarify that only registered investment advisers can provide personalized investment advice, as well as clarify the role of broker-dealers.
Determining whether misconduct has occurred can be a challenge, especially with limited information. But analyzing the situation with the CFA Institute Ethical Decision-Making Framework can help.
Much has been written and discussed about the merits of digital financial reporting. Some concerns still need to be addressed, however, such as reviewing or validating these reports using eXtensible business reporting language (XBRL) against a set of standards…. READ MORE ›
The revised Markets in Financial Instruments Directive comes into effect January 2018, introduces a sweeping overhaul of European financial markets.
Some advisers are very close to their clients, following all the big events in their lives and keeping their investments updated. If they know them so well, does it matter when paperwork gets updated?
Although recent European Commission report on corporate bonds is welcome, CFA Institute believes it missed an opportunity to emphasize other recommendations for improving demand for corporate bonds.
Ethical dilemmas come up in all different types of situations. This week's case looks at the manager-employee relationship and what responsibilities lie with each party, including the company.
CFA Institute is updating its Global Investment Performance Standards (GIPS®), and listening to stakeholders’ needs is key to evolving them to be truly universally applicable to all asset types.
SEC's published guidance for Rule 14a-8(i)(7) will affect the ability of issuers to exclude shareowner proposals from the proxy statement.
An ethical dilemma can come up at any time, but does it really come into play when making moves in personal investment account while also working as an investment adviser?
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?
Current proxy rules work against shareowners who are trying to vote in alternative and independent board members, but it is shortsighted of firms to ignore owners’ interests.
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