Ethics in the Investment Profession: A Survey

Abstract

The survey questionnaire and the number of responses to each question are contained in the appendix to this study.A large majority believe that senior managements seek high ethical standards for their firms.A large and diverse sample of analysts participated in this survey.The authors are pleased with the genuine interest and concern the participants expressed, as evidenced by the high ratio of survey completions, the care so many individuals took in completing a difficult questionnaire, and the large number of requests from participants for a copy of the survey results.We hope this study will represent a valuable addition to the available information about ethical behavior in the investment profession, thereby leading to increased awareness and improved understanding of the subject.

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