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Putting Investors First:  How CFA Institute is Helping the Industry Better Serve Investors

Event Description

​Please join us to hear James C. Allen, CFA, Head of Capital Markets Policy for the Americas at CFA Institute, provide an update on how CFA Institute is trying to help the industry better serve investors.   Jim is based in Washington and will cover how changes in the makeup of Congress has affected the legislative agenda in Washington DC, and where the SEC is headed with regulatory policy.  He will also describe the positions CFA Institute has taken on a variety of important issues and how societies are helping set CFA Institute's policy agenda.   Issues to be discussed include:

  • Broker/Dealer Standards and the evolution of fiduciary requirements
  • The impact of MIFiD on the cost and availability of investment research for U.S. investment managers
  • Potential changes to risk and fee disclosures for investment funds
  • Systemic risk elements of ETFs as they grow in size
  • Trends in ESG investing 
To view the speaker's bio - click h​ere!

Event Type

Society; Educational

Education Topic

Standards, Ethics, and Regulations

Start Time

5/22/2019 12:00 PM

End Time

5/22/2019 1:15 PM

Event City


Event State/Province


Event Country

United States

Event Region


Location Info

​University Club
924 East Wells Street
Milwaukee, WI  53202


James Allen, CFA

CE Credits

1 credit

SER Credit




Member Price


Non-Member Price


Candidate Price

$30 / University Students - $10


Registration has closed for this event.

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Content Type: MyCFA Calendar
Created at 3/12/2019 8:13 PM by [email protected]
Last modified at 5/23/2019 1:38 PM by [email protected]