Category Archives: Standards, Ethics & Regulations (SER)
C-Suite Talks: Bill Browder
Were it a work of fiction, Bill Browder’s story would stretch the bounds of credibility well beyond the breaking point. But as it happens, it’s all true: The scion of American communist royalty, he became a devout capitalist and made … Read More
Fear of Public Speaking: Whistleblowing Risks and Rewards
Ethically minded employees, or whistleblowers, are an important force for positive change that flag minor issues before they can become major problems. Read More
Changes on the Horizon for Equity Investing
Omar Selim uses self-learning quant models and big data to perform ESG analysis, and he explained to other investment professionals why they would soon need to do the same. Read More
Adapting to Disruptions in Asset Management
The asset management industry is “facing disruption from every point on the compass,” says Anne Richards of Aberdeen Asset Management. But there is an opportunity for the sector to mitigate these difficulties. Read More
Checking Assumptions and Challenging Mindsets: A Crucial Investment Strategy
If we truly aim to serve clients and our societies to the full, prudence guides us to check the assumptions and challenge the mindsets we instinctively rely on. Read More
Investment Professionals: How Socially Useful Are You?
To restore trust, private wealth managers must step out of the shadows, demonstrate value, and prove their relevance not only to clients but also to society at large, says Newton Investment Management CEO Helena Morrissey. Read More
Martin Wheatley: Regulation Is Not a Zero-Sum Game (Video)
Regulation, according to Martin Wheatley, chief executive at the Financial Conduct Authority (FCA), “is not a zero-sum game, like a tennis match or a football match, where either the regulator wins or the firm wins. If we get regulation right, we all win.” Read More
Martin Wheatley Pushes for UK Financial Reform
Since taking on the role of chief executive at the UK’s new Financial Conduct Authority, Martin Wheatley has been outspoken about implementing new reforms in the financial sector. Read More
Helena Morrissey on Diversity Driving Company Performance
Helena Morrissey says a diversity of perspective can improve company performance, but it must be developed internally, not imposed externally. Read More
John Rogers: We Need to Seek a Sustainable Place for the Future of Finance
The president and CEO of CFA Institute opened the Fifth Annual European Investment Conference by calling on investment professionals to think about a sustainable way forward and how to rebuild trust in the industry. Read More
