Financial Market Integrity Outlook

by CFA Institute, March 16th, 2011.

The CFA Institute Financial Market Integrity Outlook Survey was created to seek input from CFA Institute members on the outlook for ethical markets in 2011. The results will be used to offer regulators and the financial media commentary on how our members view the prospects for ethical practice and markets in 2011, and will help CFA Institute assess the ethical framework of our profession and note any ethical “hot spots” facing the financial services industry that need to be addressed in the coming year.

The survey, sent to all CFA Institute members (98,079 members with valid emails), was distributed via email on 10 January 2011.  5,735 members participated in the survey, for a response rate of 6%, and a margin of error of ±1%.  The survey closed 21 January 2011. Download the complete survey here.

Key Results

  • “Mis-selling” by financial advisers was identified by CFA Institute members as the most serious ethical issue facing their local markets.
  • Disclosure and use of financial derivatives by financial firms was identified as the top ethical issue for global markets.

Prior Year Results

Prior to 2011, we conducted in-depth surveys in a few select markets to produce the Financial Market Integrity IndexTM. In 2010, those markets were Canada, Germany, Hong Kong, Japan, the United Kingdom, and the United States.

For 2007-2010 reports, visit our publications page.

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