James Irving, CFA

Ethics committee

 

We are proud to have achieved a fair bit in the four years since the ethics committee was formed.  Over the past 12 months our focus has been on developing a series of high profile, distinctive events. We had good success. We have also been developing new and innovative ways of delivering our ethics materials to our members. We are excited with the results, which we will be making available shortly.

The committee is co-chaired by Annabel Gillard, CFA.

James Irving, CFA
Ethics committee chair
Consultant

James Irving, CFA

Main responsibilities

  • Promote professionalism and the value of employing individuals committed to ethics, professionalism and integrity
  • Communicate regularly with our members to help determine their needs
  • Review member feedback and other information to determine whether our services are meeting our members need
  • Where appropriate work with, and provide a resource for, the Disciplinary Review Committee
  • Liaise with the Professional Standards and Market Practices Committee and other CFA UK entities (e.g. special interest groups)
  • Liaise with CFA Institute and other local societies, including in development of the Code and Standards and member support
  • Maintain contacts with the regulator, professional bodies, firms, non-governmental organisations, academics, educators and others
  • Bring to the Chairman's attention, and where appropriate to the Board's attention, matters requiring high-level input
  • Review the ethics and professionalism member support offerings of comparable professional organisations with the aim of ensuring that what we offer is market-leading.

Accomplishments in 2016/17

  • Bill Browder event: Bill shared his fascinating, and chilling, experiences relating to the forced winding-down of “Hermitage Capital” (once the largest hedge fund in Russia) and the death of his lawyer, Sergei Magnitsky.
  • Kweku Adoboli event: interview in front of a conference room overflowing with CFA UK members, during which Kweku candidly explored, on the basis of his own experiences, factors contributing to ethical transgressions in finance.
  • Innovative film event: held a screening of a documentary film (Precinct Seven Five) followed by a structured discussion (led by Dr Penelope Brown, Welcome Trust Clinical Research Fellow and James Irving, Chair of the CFA UK Ethics Committee).
  • Launched the inaugural CFA UK ethics case study competition to explore ethical aspects of our members’ professional experiences
  • Designed and developed CFA UK’s first digital case study for release early in the 2017/18 year 

Areas of focus for 2017/18

  • Developing new case studies for our members, as well as innovative ways to present them to increase member engagement
  • Holding top-quality ethics events for our members
  • Launch of our new "Ethics Channel" (as soon as the IT is available)
  • Progressive upgrading of other aspects of the ethics website (providing interesting and relevant ethics material to our members)
  • Source ethics-focused articles for Professional Investor
  • Develop our ethics training services