Views on the integrity of global capital markets
Ethics in Practice: Performance, Footnotes and Benchmarks. Case for Week of 8 January

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.

Fiduciary Duty — CFA Institute Issues a Call for Action by SEC

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.

Ethics in Practice: Guilty or Not Guilty Is the Question! Case for Next 3 Weeks

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.

No Third-Party Exams for Investment Advisers

The SEC does not intend to pursue the use of third-party examiners to conduct their investment adviser examinations.

Investors Want Audited Digital Financial Statements

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 ›

MiFID II: A New Paradigm for Investment Management

The revised Markets in Financial Instruments Directive comes into effect January 2018, introduces a sweeping overhaul of European financial markets.

Ethics in Practice: Taking Care of Clients Is the Priority. Case for Week of 11 Dec.

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?

The Makings of a Financial Crisis

Four tools may frame the analysis required to evaluate the likelihood of an impending crisis and that may provide us with a heads up before a financial crisis occurs.

European Commission Expert Group Report on Corporate Bond Market Liquidity

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.

Ethics in Practice: Futures, Feed Yards, and Furtive Actions. Case for Week of 4 Dec.

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.

Global Investment Performance Standards: Dispelling Compliance Cost, Verification Myths

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.

How Will SEC Guidance on Shareowner Proposals Play Out?

SEC's published guidance for Rule 14a-8(i)(7) will affect the ability of issuers to exclude shareowner proposals from the proxy statement.

Ethics in Practice: Personal vs. On-the-Job Investments. Case for Week of 27 Nov

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?

Ethics in Practice: Firm’s Funds Are Best Investment, Right? Case for Week of 20 November

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?

Peltz’s Tentative and Tenuous Triumph over P&G Points to Proxy Process Problems

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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