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Interpreting Client Entertainment as Part of the Pension Trustee Code
The Financial Services Authority in Japan is currently investigating a variety of financial institutions, and its interest appears to be client entertainment practices at financial firms. Read more
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2014 Market Outlook: Reason for Optimism, but Worries over Asset Bubble
CFA Institute members are embracing the New Year with renewed optimism for economic growth but anticipate some financial bubble in 2014. Read more
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Investor and Financial Industry Perceptions on Ethics: Is There a Disconnect?
Investors and financial services professionals agree there’s room to improve industry ethics, but financial services professionals less likely to view their firms as source of distrust. Read more
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Wall Street Wolves or Compliant Sheep: The Need for Balance in Financial...
Martin Scorsese’s film, “The Wolf of Wall Street,” is fueling the public image of an evil Wall Street feeding on small investors. But is more government control the answer? Read more
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Informing the “Favored Few”: The Muddy Waters of “Material Nonpublic...
When does strategizing with other investors on your activist plans morph into tipping fellow investors about trading positions that could move stock price once disclosed? Read more
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From Pope Francis to IMF Chief: “Capital Markets Should Benefit Society”
Updated CFA Institute Code of Ethics addresses larger purpose of capital markets and growing concerns about the role and effects of capitalism. Read more
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Promoting Ethics in Investment: CFA Institute Updates “Code & Standards”
Effective 1 July, the updated CFA Institute Code & Standards outline new requirements for supervisors and client communications. Read more
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Can CFA Charterholders Work for Investment Firms with Records of Illicit...
Does working for a firm that has admitted or been found guilty of legal or regulatory violations conflict with a CFA charterholder’s duties? Read more
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Reaffirming the Value of Independent Research for Trustworthy Capital Markets
Information is the lifeblood of global financial markets and the billions of investment decisions that play a critical role in those markets. Read more
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Aligning Ethical Conduct for Investment Committee Members’ Dual Roles
CFA Institute offers several resources to help investment committee volunteers carry out ethical obligations. Read more
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