ethics report

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Ethics Report Reading List:

The Sarbanes-Oxley Act (BKM pp.83-85)

Dodd-Frank Wall Street Reform Act (BKM p.22, 33, 82-83, 458)

Timeline: banking scandals in Australia since 2009

https://www.theguardian.com/australia-news/ng-interactive/2016/apr/29/timeline-banking-

scandals-in-australia-since-2009

Insider trading (BKM p.85)

CFA Standards of professional conduct (BKM p.84)

Go to the CFA Institute, Ethics and Standards of Practice:

https://www.cfainstitute.org/learning/products/onlinelearning/Pages/62901.aspx . There are

seven (7) modules. You may like to look at all modules. Also, read the CFA Institute, Code

of Ethics and Standard of Professional Conduct: http://www.cfapubs.org/toc/ccb/2014/2014/6

Download “Fiduciary Duty in the 21st Century” from:

http://www.unepfi.org/fileadmin/documents/fiduciary_duty_21st_century.pdf .

Download the eBook at UNSW library “Working Ethically in Finance: Clarifying Our

Vocation, Business Expert Press” by Asher, Anthony (2015) from:

http://primoa.library.unsw.edu.au/primo_library/libweb/action/search.do?cs=frb&ct=frb&frb

g=169248521&fctN=facet_frbrgroupid&fctV=169248521&doc=UNSW_ALMA5117391587

0001731&lastPag=&lastPagIndx=1&rfnGrp=frbr&frbrSrt=date&frbrRecordsSource=Primo+

Local&frbrJtitleDisplay=&frbrIssnDisplay=&frbrEissnDisplay=&frbrSourceidDisplay=UNS

W_ALMA&frbg=&&indx=1&fn=search&dscnt=0&scp.scps=scope%3A(UNSWorks_ALM

A)%2Cscope%3A(UNSW_ALMA)%2Cprimo_central_multiple_fe&mode=Basic&vid=UNS

WS&ct=search&srt=rank&tab=default_tab&vl(freeText0)=working%20ethically%20in%20f

inance&dum=true&dstmp=1483145251227

To access the above ebook, you can cut and paste the above url or go to UNSW library and

search for the book.

Download the publication “Trust and Ethics in Finance: Innovative ideas from the Robin

Cosgrove Prize” from:

http://www.globethics.net/documents/4289936/13421039/OnlineLibrary_GlobalSeries_6_Tr

ustAndEthicsInFinance_text.pdf/6dfbc602-2716-4036-9010-a94c65215b08 . It is 400-page

long.

Go to PRME Working Groups: http://www.unprme.org/working-groups/display-working-

group.php?wgid=748 and download the comprehensive Anti-corruption guidelines for MBA

curriculum change (136 pages) at: http://www.unprme.org/resource-

docs/ComprehensiveAntiCorruptionGuidelinesforCurriculumChange.pdf . You would find a

long list of reading materials, some of which you may have to pay.

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SAC Capital Advisors Case Tests an Ethical Dilemma:

http://www.nytimes.com/2013/06/01/business/sac-case-tests-a-classic-

dilemma.html?pagewanted=all&_r=1 . Should read this one as this case involves a portfolio

manager.

“How Wall Street Lawyer Turned Insider Traded Eluded the FBI” Go to:

http://www.bloomberg.com/news/2012-07-31/how-wall-street-lawyer-turned-insider-trader-

eluded-fbi.html

The original article is no longer available to the public, but you can get similar information

and more from the following:

https://en.wikipedia.org/wiki/Matthew_Kluger

http://www.fa-mag.com/news/how-wall-street-lawyer-turned-insider-trader-eluded-fbi-17-

years-11473.html

http://fortune.com/2014/07/07/matthew-kluger-talks/

See video at: https://www.youtube.com/watch?v=mi99GgIEd20

Note: When clicking on a link does not work, cut and paste it to your browser.

Conflict of Interest: The Common Thread Underlying Ethical Lapses. Read the article here:

http://papers.ssrn.com/sol3/papers.cfm?abstract_id=2351636 . One of the industries

examined is investment banking.

Conflict of Interest in Universal Banking Evidence from Brazilian IPOs. Read the article

here: http://papers.ssrn.com/sol3/papers.cfm?abstract_id=2405510 .

Woman Who Couldn’t Be Intimidated by Citigroup Wins $31 Million. Read the article here:

http://www.bloomberg.com/news/articles/2012-05-31/woman-who-couldn-t-be-intimidated-

by-citigroup-wins-31-million .

He Told, He Suffered, Now He’s a Hero. Read the article here:

http://www.nytimes.com/1994/05/29/business/he-told-he-suffered-now-he-s-a-hero.html .

Through the Eyes of a Whistle-Blower: How Sherry Hunt Spoke Up About Citibank’s

Mortgage Fraud. Read the article here: https://cb.hbsp.harvard.edu/cbmp/product/KEL852-

PDF-ENG . This is a Harvard Business Case Study.

The $9 Billion Witness. Read the article here: http://www.rollingstone.com/politics/news/the-

9-billion-witness-20141106 . This is an interesting article to read.

Giving Voice to Values: How to Speak Your Mind When You Know What’s Right by Mary

C. Gentle (http://www.marygentile.com/ )

Annotated Table of Contents: http://www.unprme.org/resource-docs/AnnotatedTOCGVV.pdf

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Reinventing Ethics by Mary Gentile: http://www.unprme.org/resource-

docs/ReinventingEthics.pdf

Ethical Decision Making:

https://www.scu.edu/ethics/ethics-resources/ethical-decision-making/

A Framework for Ethical Decision Making:

https://www.scu.edu/ethics/ethics-resources/ethical-decision-making/a-framework-for-

ethical-decision-making/