CFA Institute works to advance and promote policies that serve investor protection over commercial interests; we support the creation and adoption of rules and regulatory standards that improve market structure, transparency, and fairness for all investors with the intent to expand investment industry professionalism.
How We Do This
Policy Research and Advocacy
CFA Institute takes positions on key issues by engaging in evidence-based advocacy, calling on the collective knowledge of our members and a diverse network of experts. Scroll down to select specific issues and research.
Comment Letters
We respond to current issues and proposed regulations and legislation related to ethical conduct, professional standards, and integrity in global capital markets.
View Comment LettersExperts and Committees
Our global team of experts lead policy research and commentary in collaboration with CFA charterholders, think tanks, and standard setters.
Find an Expert
May 2019 CFA Institute Advocacy Update (PDF)
With news breaking around the world affecting our industry—including the much-anticipated SEC vote on Regulation Best Interest and issues surrounding Brexit and EU and UK leadership—we provide you with highlights, reactions, and what the news means to our investment community.
Featured Research
Policy Positions and Research
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Financial Reporting Requirements & Issues
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Auditing Requirements & Practices
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Corporate Reporting
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Corporate Governance
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Capital Formation
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Market Structure
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Investment Products & Services
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Financial Market Regulation
- Analyst Ethics
- Analyst Research Process
- Automated Advisors
- Business Continuity Plans for Advisers
- Commission-Based Advice
- Conflicts of Interest
- Credit Rating Agencies (CRAs)
- Elements of Effective Regulation
- Expanded SEC Examination Program for Advisers
- Fiduciary Duty
- Inducements
- Market Rules Covering Individuals, Firms & Trading Markets
- MiFID Conduct-of-Business Rules
- Payment for Research
- Regulatory Capture
- Systemic Risk
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Asset Management Firm Issues