Views on improving the integrity of global capital markets

Professional Ethics

Saudi Arabia’s Sovereign Wealth Fund Claims GIPS Compliance

Public Investment Fund (PIF), the world’s seventh largest sovereign wealth fund (SWF), has claimed compliance with the CFA Institute Global Investment Performance Standards (GIPS®).

GIPS Standards Verification Services, Part I: Case Facts

Can you recognize which of the newly adopted CFA Institute Standards of Professional Conduct are at issue in the case?

Role of External Factors in Ethical Behavior: Openness and Enforcement

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.

Role of External Factors in Ethical Behavior: Commitment and Transparency

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.

Role of External Factors in Ethical Behavior: Role-Modeling and Goal Achievability

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.

Role of External Factors in Ethical Behavior: Need for Clarity

Regulations alone cannot be expected to define the way investment professionals take care of their clients. Ethics and ethical decision making are essential.

Competition Invites Innovative Ideas for Improving Ethics and Trust in Finance

Restoring trust in financial services and markets is an immense task that requires many actors to play an active, ongoing role, particularly young people.

Catch Me if You Can! Exposing and Stopping Financial Crime

Panel at recent regulatory conference discuss financial crimes, recourse that’s available when crimes cross borders, and how CFA Institute deals with members involved in crimes.

How Finance Can be a Force for Good in Society: One Investment Manager’s Perspective

Ranji Nagaswami, CFA, a 30-year investment manager, discusses the need for enlightened leaders in finance and why she helped launch the Finance Leaders Fellowship Program.

Edelman Trust Barometer 2016: A Mixed Bag for Financial Services Sector

The 2016 Edelman Trust Barometer offers some good news and some bad when it comes to public trust in the financial services sector. Financial services ranked last in the 25-country survey; however, public trust in financial services has increased somewhat since 2012.

Cosgrove Prize: Ethics in Finance Winner Applies Design Thinking to Financial Sector

Anshuman Mehta suggests we learn from fallen financial professionals, and proposes a rehabilitation and reconciliation program for them. He also says the fintech industry has banks’ attention.

Ethical Decision-Making Skills: What Investment Managers Need to Know

No matter the quandary, our ethical decision-making framework — identify, consider, act, and reflect — can be applied.

Ethical Behaviour Should Complement the Law in Financial Services Profession

Responsibility and accountability: Is a “Hippocratic oath” in financial services the answer?

Raising Bar on Finance Culture and Conduct: IOSCO Meeting and FEMR Offer Blueprint

It is time to accelerate cultural change to serve the interests of investors and society.

Does Technology Test Ethical Foundation of the Investment Profession?

CFA Institute Poll: Nearly half say technology has led to increased ethical misconduct by investment professionals.

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