CFA Institute Standards, Ethics, and Regulations

Chapter 1. Ethics in the Financial and Investment Industry

Mon, 30 Apr 2012 13:20:34

Chapter 1. Ethics in the Financial and Investment Industry in The Psychology of Ethics in the Finance and Investment Industry by Thomas Oberlechner.

Chapter 2. Defining Ethics and What Is Ethical

Mon, 30 Apr 2012 13:21:22

Chapter 2. Defining Ethics and What Is Ethical in The Psychology of Ethics in the Finance and Investment Industry by Thomas Oberlechner.

Chapter 3. Psychological and Descriptive Understanding of Ethical Decision Making

Mon, 30 Apr 2012 13:25:23

Chapter 3. Psychological and Descriptive Understanding of Ethical Decision Making in The Psychology of Ethics in the Finance and Investment Industry by Thomas Oberlechner.

Chapter 4. Individual Ethical Development

Mon, 30 Apr 2012 13:26:00

Chapter 4. Individual Ethical Development in The Psychology of Ethics in the Finance and Investment Industry by Thomas Oberlechner.

Chapter 5. Ethics-Related Individual Characteristics

Mon, 30 Apr 2012 13:30:24

Chapter 5. Ethics-Related Individual Characteristics in The Psychology of Ethics in the Finance and Investment Industry by Thomas Oberlechner.

Chapter 6. Implicit Individual Processes

Mon, 30 Apr 2012 13:31:11

Chapter 6. Implicit Individual Processes in The Psychology of Ethics in the Finance and Investment Industry by Thomas Oberlechner.

Chapter 7. Social Influences on Ethics

Mon, 30 Apr 2012 13:35:18

Chapter 7. Social Influences on Ethics in The Psychology of Ethics in the Finance and Investment Industry by Thomas Oberlechner.

Chapter 8. Groups and Ethics

Mon, 30 Apr 2012 13:36:00

Chapter 8. Groups and Ethics in The Psychology of Ethics in the Finance and Investment Industry by Thomas Oberlechner.

Chapter 9. Power, Leadership, and Ethics

Mon, 30 Apr 2012 13:40:18

Chapter 9. Power, Leadership, and Ethics in The Psychology of Ethics in the Finance and Investment Industry by Thomas Oberlechner.

Chapter 10. Organizational Culture and Ethics

Mon, 30 Apr 2012 13:41:08

Chapter 10. Organizational Culture and Ethics in The Psychology of Ethics in the Finance and Investment Industry by Thomas Oberlechner.

Chapter 11. Compensation and Reward Systems

Mon, 30 Apr 2012 13:45:17

Chapter 11. Compensation and Reward Systems in The Psychology of Ethics in the Finance and Investment Industry by Thomas Oberlechner.

Chapter 12. Ethics Training

Mon, 30 Apr 2012 13:46:04

Chapter 12. Ethics Training in The Psychology of Ethics in the Finance and Investment Industry by Thomas Oberlechner.

Chapter 13. Conclusion

Mon, 30 Apr 2012 13:50:18

Chapter 13. Conclusion in The Psychology of Ethics in the Finance and Investment Industry by Thomas Oberlechner.

CFA Institute Code of Ethics and Standards of Professional Conduct

Mon, 30 Apr 2012 13:50:59

CFA Institute Code of Ethics and Standards of Professional Conduct in The Psychology of Ethics in the Finance and Investment Industry by Thomas Oberlechner.

Introduction, Foreword, Preface

Mon, 30 Apr 2012 13:55:21

Introduction, Foreword, and Preface in The Psychology of Ethics in the Finance and Investment Industry by Thomas Oberlechner.

Can Investment Management Ethics be Taught?

Tue, 01 May 2012 09:33:55

Can investment management ethics be taught? Knowing the rules or regulations that?apply in a particular situation is important but a "check the box" compliance mentality is not sufficient to ensure ethical behavior.

C?digo de conducta profesional del gestor de inversiones

Wed, 02 May 2012 13:40:16

The Asset Manager Code of Professional Conduct (the Code) is intended to help investment managers provide services in a professional and fair manner, and to make full disclosure of key items. The body of standards specifies the general responsibilities ...

Show-Me Banking

Fri, 04 May 2012 10:45:43

?There is a way to have a financial system that doesn?t endanger the economy every so many years,? says economist Laurence Kotlikoff.

The Two-Year Scorecard on Regulatory Reform

Fri, 04 May 2012 10:55:40

?It is easy to confuse the vast set of Dodd?Frank proposals with the actual Dodd?Frank accomplishments.?

A Bolder Voice for Ethics

Fri, 04 May 2012 11:00:40

?To broaden the network of ?advocacy ambassadors? for CFA Institute, local society volunteers are stepping up.?

Volcker Rule: Are Global Concerns Justified?

Fri, 04 May 2012 10:56:09

CFA Institute experts discuss the rule?s global implications.

Restoring Confidence: the Asset Manager Code

Fri, 04 May 2012 11:01:07

?If a commitment to ethics and high professional standards is essential to us as individuals, a similar commitment on the part of firms that employ us may be even more critical.?

Insider Trading across Borders

Fri, 04 May 2012 11:05:44

How a high-profile hedge fund manager might have avoided FSA investigation and fine.

Turning Whistles into Trumpets

Fri, 04 May 2012 11:11:05

?Our long-term goal is to try to see if we can change the perception of whistleblowers,? says Sean McKessey, chief of the U.S. SEC?s whistleblower unit.

Why U.S. Insurers Fared Better Than Banks

Fri, 04 May 2012 11:25:40

Did key differences give insurers an edge during the financial crisis?

The Gold Standard: A Fifty-Year History of the CFA Charter

Mon, 07 May 2012 10:46:05

Meet the pioneers behind the success of the Chartered Financial Analyst Program in author Nancy Regan?s vivid account of the evolution of the charter and of CFA Institute in The Gold Standard: A Fifty-Year History of the CFA Charter. Benjamin Graham, ...

Do They Do It for the Money?

Thu, 10 May 2012 09:21:40

Previous studies have attributed insider trading to either rational economic motivations or noneconomic motivations. The authors use a database of insider-trading indictments and statistical analysis to show that insider trading cannot be explained by ...

What does good regulation look like?

Fri, 11 May 2012 12:42:42

The key regulatory reforms in the wake of the financial crisis are examined and considered in the context of how efforts to date can be improved to achieve ?good regulation?. At the macro-level, the institutional design of systemic risk oversight needs ...

Issue Brief: Compensation Disclosure and Analysis Template

Thu, 17 May 2012 15:24:04

This issue brief provides guidance to help issuers tell a story about their compensation policies, practices, and decisions,? and to guide issuers in creating a CD&A that can be read and understood by average retail investors.

Corporate Political Donations: Investment or Agency?

Fri, 18 May 2012 09:46:20

The authors examine corporate donations to political candidates for federal offices in the United States from 1991 to 2004. Firms that donate have operating characteristics consistent with the existence of a free cash flow problem, and donations are ...

Higher Social Class Predicts Increased Unethical Behavior

Thu, 24 May 2012 14:10:18

Are the wealthy more apt to lie, cheat and break the law? Seven studies using experimental and naturalistic methods reveal that upper-class individuals behave more unethically than lower-class individuals. Registration/subscription may be required to ...

66th CFA Institute Annual Conference

Mon, 30 Apr 2012 15:18:33

The risk, opportunities, and challenges facing the global investment profession are as complex as ever and investment professionals must remain current. If you attend only one investment conference this year, make sure it?s the CFA Institute Annual ...

CFA Institute: Fifth Annual European Investment Conference

Wed, 16 May 2012 15:34:56

As the flagship event in Europe for CFA Institute, the annual European Investment Conference brings together noted researchers, speakers, writers, investment professionals, academics, and experts to examine these unique regional issues and bring you up ...

Dodd-Frank Act: Implications for Derivatives Trading, Investing, and Hedging Activities

Mon, 21 May 2012 12:52:18

The Dodd-Frank Act (DFA) mandates comprehensive changes to a wide range of financial institutions and products. This course explores in detail one major area impacted by several parts of the DFA:? the trading, investing, and hedging activities using a ...

Ethics Goes Global: Implications for Regional Service Providers Acting in a Global Financial Sector

Thu, 24 May 2012 09:52:13

The 2008 global financial crisis seriously damaged the integrity of capital markets. In order to restore trust and encourage ethical behavior, demand for greater regulation of the financial services industry has increased.

Best Practices in Investment Reporting

Mon, 30 Apr 2012 09:07:23

This presentation covers best practices to address investment reporting to existing clients in order to improve the quality of the process, increase transparency, and facilitate a common understanding between the portfolio manager and client.

CDS and Synthetic CDOs Explained

Thu, 17 May 2012 15:05:54

An explanation of how credit default swaps (CDS) and synthetic collateralized debt obligations (CDO) work and why they frequently suffer from conflicts of interest.