by admin | Aug 28, 2013 | CAIA, CFA, CFA Institute, CIPM, CIPM exam prep, CIPM Exam Tips & Tricks, CIPM expert, CIPM Principles, Code of Ethics, ethics, Standards of Professional Conduct
As you know, Ethics is a component of the CIPM curriculum – and one that candidates should not take lightly. CFA Institute announced today that they will be holding a free webinar on Ethical Decision Making. I recommend that both Principles Level and...
by admin | Sep 12, 2012 | CIPM, CIPM Exam Tips & Tricks, CIPM expert, CIPM Principles, duties to employer, employee loyalty to employer, ethics, loyalty, Standards of Professional Conduct, whistle-blowing
There was good news in the media this morning, as the United States Internal Revenue Service (IRS) awarded a former UBS employee in the amount of $104 million USD for “whistle-blowing” regarding activities at UBS that assisted some of the firm’s...
by admin | May 8, 2012 | ethics
A journey of a thousand miles must begin with a single step. ConfuciusAt this year’s CFA Institute Annual Conference, John Rogers, CFA, President and CEO, called for all investment professionals to restore trust in the investment industry. He presented the CFA...
by admin | Mar 29, 2012 | ethics, GIPS, Global Investment Performance Standards
At the recent GIPS(R) (Global Investment Performance Standards) Executive Committee meeting in Brussels, Belgium, the EC discussed the possibility of creating a “Code of Conduct” for GIPS service providers. I think this is an excellent idea, though at this...
by admin | Mar 27, 2012 | ethics, GIPS, Global Investment Performance Standards
I served in the U.S. Army (Field Artillery branch) for nearly five years, and spent 39 months with the 25th Infantry Division in Hawaii (tough duty, but someone had to do it). During that time I worked with several West Point graduates (I obtained my commission...
by admin | Oct 13, 2011 | CIPM, CIPM Exam Tips & Tricks, CIPM expert, CIPM Principles, duties to employer, ethics, loyalty
A Principles Level candidate asked me for an interpretation of the following ethics related question from one of the practice exams:Angela Schneider, an equity analyst at Isotonic Asset Management, joins the board of trustees of the Lightship Foundation, a large...
