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CFA Institute and CFA Society network are leaders in providing in-depth insights about the investment world of today and what that means for the industry of tomorrow. Here is a glimpse at what we’re working on now and into the future. Dates are subject to change.

June 2023

June 2023

Personalized Multiple Account Portfolio Optimization

In Market

The author proposes an alpha-tracking error framework that simultaneously optimizes across accounts with different tax treatments, tax lots, and investments while considering taxes, trade costs, and nonpecuniary preferences in a single optimization.

June 2023

GIPS Standards Exposure Draft: Guidance Statement on Firms Managing Only Broad Distribution Pooled Funds

In Market

Many firms manage only funds that are calssified as “broad distribution pooled funds”, e.g., retail mutual funds, under the GIPS standards. This is quite common in many developing markets. The Guidance Statement explains which provisions of the GIPS standards apply to such firms, and which provisions do not apply.

July 2023

July 2023

Private Shareholder Engagements on Material ESG Issues

In Market

Do private shareholder engagements on ESG issues have an impact? Analyzing thousands of firms over 14 years, this study finds that engagements on material issues more often succeed and correspond with outperformance and reduced CO2 intensity.

July 2023

Consultation with CFA Society Hong Kong on Stock Exchange of Hong Kong proposal to make corporate climate-related disclosures mandatory

In Market

Consultation on proposal by the Stock Exchange of Hong Kong to elevate corporate climate-related disclosures to mandatory from "comply or explain" to keep pace with international developments

July 2023

Error Correction Survey

In Market

Firms that comply with the GIPS standards are required to establish policies and procedures for handling errors that appear in GIPS reports. Members of the USIPC and Global Investment Standards staff members conducted a survey to updat the initial survey done on this topic in 2014.

July 2023

CFA Institute Global Survey on Central Bank Digital Currencies

In Market

The paper focuses on CBDCs and the implication their introduction may have on capital markets functioning and financial stability. This would make use of a member survey to gauge the current level of understanding of the effect the introduction of CBDCs may have on traditional mechanisms related to money supply, monetary policy, trading, and price formation.

August 2023

August 2023

XBRL Usage in France

Target Release: August

This project uses XBRL protocol to advance data analytics, quality of financial information, and provide a useful framework for ESG data

August 2023

The Controversy over Proxy Voting: The Role of Fund Managers and Proxy Advisors

In Market

August 2023

Comment Letter to FASB on Cryptoassets

In Market

September 2023

September 2023

GIPS Standards Exposure Draft: Guidance Statement on Applying the GIPS Standards to Outsourced Chief Investment Officers (OCIOs)

In Market

Many firms manage OCIO strategies and such strategies do not fit neatly into the current requirements of the GIPS standards. We are developing guidance for how the GIPS standards can be applied to OCIO strategies.

September 2023

Intangibles Survey Report

Target Release: September

September 2023

An Exploration of Greenwashing Risks in Investment Fund Disclosures: An Investor Perspective

Target Release: September

This paper identifies forms of misrepresentation that frequently lead to allegations of greenwashing— e.g., exaggeration, omission, unsubstantiated claims, inconsistency; gains a directional understanding about which are most prevalent and in which kinds of communications; and illustrates with examples.

September 2023

Future State of the Investment Industry

In Market

This work will revisit the first "Future State of the Investment Profession" paper that was published 2016-2017, reviewing the megatrends and new scenarios for the industry over the next 5 - 10 years.

September 2023

Thematic Investing with Big Data: The Case of Private Equity

Target Release: September

Using natural language processing to score companies by the news frequency of terms related to private equity, the authors create an index weighted by theme exposure and liquidity, whose returns are highly correlated with non-traded indexes.

September 2023

Swing Price Calibration: Using ETFs to Infer Swing Factors for Mutual Funds

In Market

Swing pricing might provide a way to reduce the financial stability risks posed by open-ended funds, but the swing factor can be difficult to calibrate. This article proposes using the pricing dynamics of ETFs to inform ranges of swing factors.

September 2023

Applying Economics, Not Gut Feel, to ESG

Target Release: September

Mainstream economics can be applied to ESG once we realize that it is no ifferent from other investments that create financial and social value. This paper overturns conventional thinking on 10 key ESG issues byapplying soud economic principles.

September 2023

Intermediaries’ Incentives across Share Classes in the Same Fund

In Market

This research provides evidence that intermediaries’ incentives vary across retail share classes in the same fund. The findings cannot be explained by differences in share-class load fees or investor clientele

October 2023

October 2023

Active Funds: Fund Flows, Closet Indexing, Fees, and Performance

Target Release: October

Analysis of fund flows, fees and performance for active funds and examination of the extent of closet indexing. Comparison of active share and active fee over different markets and time periods. Assess value and policy implications.

October 2023

Impact of Regulation and MiFID on Market for Research Report

Target Release: October

This joint project with CFA Society France will review the claim that regulation in general and MiFID II in particular is responsible for the observed drop in market research coverage in Europe since 2000.

Theme: Structual resilience of capital markets

October 2023

Valuation Guide to Crypto Assets

Target Release: October

This report offers an analysis of the fundamental valuation methods for crypto assets. It reviews the valuation factors and methods for different types of digital assets, with input from practitioners on the relevance and usage of these methods.

Theme: Structural resilience of capital markets

October 2023

Integrating Climate Data into Investment Decisions: Current Resources and Considerations

Target Release: October

This paper is intended to help both investment professionals and retail investors assess data sources and integrate climate-related risk and opportunities in their investment process. The study also showcases current limitations in data. These limitations are important for investors and should also be of interest to regulators and policy makers, and to issuers.

October 2023

Report on the EU Listing Act

Target Release: October

This joint report will analyse the current functioning of EU primary markets and provide recommendations for EU policy-makers on measures to make primary markets more attractive for EU companies and, in general, how to facilitate access to capital markets for companies, including SMEs.

October 2023

Finfluencers: Social Media, Investment Recommendations, and Promotions

Target Release: October

This report considers the role of social media influencers in investor decision-making and the adequacy of the regulatory framework in a world where social media is a predominant channel for news and information dissemination.

Theme: New insights into the investment profession

October 2023

Young Women in Investment Management Program Impact Report

Target Release: October

This report covers the impact of the Young Women in Investment program run in 6 locations in 2022-2023. It lays out the design intention and offers a deep dive into what and how it delivered for partners, sponsors, and participants. The report offers insights, practical approaches, and data gleaned from the program.

October 2023

DEI Code: UK Version

Target Release: October

The DEI Code was designed to provide a framework for global industry change, with its first iteration based in the US and Canada. The UK version takes the same six principles, adjusted for UK-centric challenges and builds out a robust UK relevant Implementation Guidance. It will be supported by a UK Reporting Framework.

October 2023

Lifetime Financial Advice

Target Release: October

November 2023

November 2023

Beyond Passive Investing

Target Release: November

November 2023

Macro-Economic Drivers

Target Release: November

November 2023

Transition Finance

Target Release: November

This project examines the market for Transition Finance including instruments and products. It will evaluate the obstacles to the development of Transition Finance, assess how to make it more attractive and compatible for institutional investor portfolios, and explore solutions and tools to scale Transition Finance so that it can play a key role in net zero.

November 2023

Sustainability Funds: Industry Trends

Target Release: November

Analysis of fund flows, fees and performance into ESG funds, setting in context their growth and development.

November 2023

Capital Formation in Africa and Private Investment Channels to Fund Infrastructure Plans

Target Release: November

November 2023

Unstructured Data, AI, and Analytical Methods: Using NP to Examine ESG

Target Release: November

This report offers an overview of unstructured data, reviews the analytical methods and tools to extract such data, and applies these techniques to Twitter data on ESG.

December 2023

December 2023

GIPS Standards Detailed Verification Procedures

Target Release: December

The GIPS standards recommend that firms and asset owners that claim compliance should be verified by an independent third party, to add credibility to the claim of compliance. The GIPS Standards for Verifiers include the minimum requirements for conducting a verification. These procedures provide additional guidance to verifiers for conducting such engagements.

January 2024

January 2024

Updated Code of Ethics and Standards of Professional Conduct

Target Release: January

The proposed changes to the revised Code of Ethics and Standards of Professional Conduct have been approved by the CFA Institute Board of Governors. The effective date of the changes is 1 January 2024. The accompanying Standards of Practice Handbook update is underway.

June 2023

June 2023

Personalized Multiple Account Portfolio Optimization

In Market

June 2023

GIPS Standards Exposure Draft: Guidance Statement on Firms Managing Only Broad Distribution Pooled Funds

In Market

July 2023

July 2023

Private Shareholder Engagements on Material ESG Issues

In Market

July 2023

Consultation with CFA Society Hong Kong on Stock Exchange of Hong Kong proposal to make corporate climate-related disclosures mandatory

In Market

July 2023

Error Correction Survey

In Market

July 2023

CFA Institute Global Survey on Central Bank Digital Currencies

In Market

August 2023

August 2023

XBRL Usage in France

Target Release: August

August 2023

The Controversy over Proxy Voting: The Role of Fund Managers and Proxy Advisors

In Market

August 2023

Comment Letter to FASB on Cryptoassets

In Market

September 2023

September 2023

GIPS Standards Exposure Draft: Guidance Statement on Applying the GIPS Standards to Outsourced Chief Investment Officers (OCIOs)

In Market

September 2023

Intangibles Survey Report

Target Release: September

September 2023

An Exploration of Greenwashing Risks in Investment Fund Disclosures: An Investor Perspective

Target Release: September

September 2023

Future State of the Investment Industry

In Market

September 2023

Thematic Investing with Big Data: The Case of Private Equity

Target Release: September

September 2023

Swing Price Calibration: Using ETFs to Infer Swing Factors for Mutual Funds

In Market

September 2023

Applying Economics, Not Gut Feel, to ESG

Target Release: September

September 2023

Intermediaries’ Incentives across Share Classes in the Same Fund

In Market

October 2023

October 2023

Active Funds: Fund Flows, Closet Indexing, Fees, and Performance

Target Release: October

October 2023

Impact of Regulation and MiFID on Market for Research Report

Target Release: October

October 2023

Valuation Guide to Crypto Assets

Target Release: October

October 2023

Integrating Climate Data into Investment Decisions: Current Resources and Considerations

Target Release: October

October 2023

Report on the EU Listing Act

Target Release: October

October 2023

Finfluencers: Social Media, Investment Recommendations, and Promotions

Target Release: October

October 2023

Young Women in Investment Management Program Impact Report

Target Release: October

October 2023

DEI Code: UK Version

Target Release: October

October 2023

Lifetime Financial Advice

Target Release: October

November 2023

November 2023

Beyond Passive Investing

Target Release: November

November 2023

Macro-Economic Drivers

Target Release: November

November 2023

Transition Finance

Target Release: November

November 2023

Sustainability Funds: Industry Trends

Target Release: November

November 2023

Capital Formation in Africa and Private Investment Channels to Fund Infrastructure Plans

Target Release: November

November 2023

Unstructured Data, AI, and Analytical Methods: Using NP to Examine ESG

Target Release: November

December 2023

December 2023

GIPS Standards Detailed Verification Procedures

Target Release: December

January 2024

January 2024

Updated Code of Ethics and Standards of Professional Conduct

Target Release: January

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