Ethics and Integrity in the Investment Profession: Where It Stands and What Is Needed

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From the CFA Institute 2010 Society Leadership Conference
Source: CFA Institute
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35 min, video podcast, recorded on 24 September 2010

Paul Schott Stevens is president and CEO of Investment Company Institute (ICI), the national association of U.S. investment companies. Outside ICI, his career has included varied roles in private law practice, as corporate counsel, and in government service. From 1999 to 2004, he was a leader of the financial services practice of Dechert LLP, an international law firm, following a stint at Charles Schwab & Co., Inc. Between 1985 and 1989, Stevens served as special assistant for national security affairs to President Ronald Reagan, as executive secretary and legal adviser of the National Security Council, and in other senior positions at the White House and the Pentagon.
David Tittsworth is the executive director/executive vice president of the Investment Adviser Association (IAA), and has served a significant portion of his professional career in the public sector, where he held positions in all three branches of government. He began his legal career as a research attorney for the Kansas Court of Appeals in 1978 and later held various positions in state government before moving to Washington, D.C., where he served as senior counsel to the House Subcommittee on Transportation, Trade, and Hazardous Materials and later counsel to the House Committee on Energy and Commerce.
John Rogers, CFA, joined CFA Institute as president and CEO in January 2009 after more than two decades of global experience as an investment practitioner and executive in the Asia-Pacific region and the United States. Rogers worked with Citibank and CIGNA in Japan and Australia prior to joining INVESCO. He served as president and chief investment officer of Invesco Asset Management Ltd., Japan, CEO and co-chief investment officer of Invesco Global Asset Management, N.A., and as CEO of Invesco’s worldwide institutional division, with more than US$200 billion in assets under management and 2,500 employees. After leaving Invesco in 2007, he founded Jade River Capital Management.
Francesco Guerrera is the United States business editor for the London-based Financial Times (FT), and is responsible for corporate coverage in North America. He was previously the FT's Asia financial correspondent, covering Asian mergers and acquisitions, investment banking, private equity, and capital markets and, prior to that, the European Union correspondent based in Brussels, covering competition and the single market.
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Summary

A panel of leading thinkers from the investment management profession engaged in an open and creative dialogue on the topic of ethics and integrity in the investment profession for the first session of the Challenging Industry Norms series. Panelists also discuss potential reforms for the industry. Slides are not available for this podcast.
Topics
Standards, Ethics, and Regulations (SER)
    :
  • Ethical Practices and Guidelines
    • ·
  • Professional Standards of Practice
Credits · About the CE Program
0.5 CE (including 0.5 SER) Manage CE Credits

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