At the recent Annual IA Compliance Best Practices Seminar, the SEC offered some of its strongest language yet in clarifying its view of expert networks.
While the bulk of the speech by Carlo di Florio, director of the… READ MORE ›
CFA Institute has spent considerable time developing a code of conduct for pension trustees. The Pension Trustee Code of Conduct (PDF) is not a how-to manual or another entry into the parade of best-practice guidelines for… READ MORE ›
Since the financial crisis, investors are more interested than ever in the ethics and integrity of investment management firms. Since their introduction in 1999, the GIPS standards have been recognized as industry best practice for calculating… READ MORE ›
First it was small and commercial issuers looking for an exemption to the new rules for over-the-counter derivatives. Fair enough, they weren’t responsible for the systemic meltdown, and making them trade truly bespoke instruments on… READ MORE ›