RPC Celebrates One Year

The Research and Policy Center Celebrates One Year

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Research Report

How to Build a Better ESG Fund Classification System

Jane Thostrup Jagd: Aligning Company Boards, Investors, and Sustainability Goals

PCAOB’s Standard, “A Firm's System of Quality Control and Other Amendments”

General Responsibilities of the Auditor in Conducting an Audit and Amendments to PCAOB Standards

Capital Markets

Research Foundation

An Introduction to Alternative Credit

In this book, practitioners introduce the key features of the alternative credit asset class. They spotlight leading transactions to evaluate those features and their implications for investors. They also discuss the market’s anticipated continued growth and potential evolution.

Technology

Research Report

Unstructured Data and AI: Fine-Tuning LLMs to Enhance the Investment Process

Access to powerful LLMs like ChatGPT is reshaping roles in the investment profession. This report discusses how to ethically build investment models in the open-source community. It defines alternative data and presents an ESG investing case study.

Industry Future

Research Report

The Finfluencer Appeal: Investing in the Age of Social Media

This report examines how young investors use content from financial influencers on social media platforms, such as YouTube, TikTok, and Instagram, to gather information and make investment decisions.

Sustainability

Research Report

How to Build a Better ESG Fund Classification System

"ESG funds" refers to investments that consider environmental, social, and governance factors. Despite attempts to define them, the term remains unclear. This report suggests classifying ESG funds by their focus on risk-adjusted returns, managing systemic ESG issues, and achieving specific environmental and social goals, aiming to refine their classification.

Enterprising Investor

Dangers and Opportunities Posed by the AI Skills Gap in Investment Management

5 Sep 2024 AI is more than just another technology. It is a transformative force with the potential to redefine investment management. The industry's most significant barrier to harnessing this power is the widening AI skills gap, cautions Dan Philps, PhD, CFA.

Market Integrity Insights

CFA Institute/IAA Issue Survey Report on Firm Practices for Complying with the SEC Marketing Rule

4 Sep 2024 Survey results: How firms are dealing with some of the most challenging issues in the SEC Marketing Rule. CFA Institute and the Investment Adviser Association (IAA) conducted a survey to identify how firms are dealing with some of the most challenging issues in the Marketing Rule, and Karyn Vincent, CFA, CIPM, CPA, shares some key findings.

Enterprising Investor

Navigating the Risks of AI in Finance: Data Governance and Management Are Critical

3 Sep 2024 Big data-driven AI in financial services is a technology that augments human capabilities. We are living in countries governed by the rule of law, and only humans can adopt safeguards, make decisions, and take responsibility for the results, writes Yoshimasa Satoh, CFA.

Research Foundation

Handbook of Artificial Intelligence and Big Data Applications in Investments

Research Report

Net Zero in the Balance

Research Foundation

Investment Model Validation: A Guide for Practitioners

Watch the Debate: New Insights on Stocks for the Long Run

The 2024 Conversations with Frank Fabozzi, CFA

Financial Analysts Journal

Fundamental Analysis via Machine Learning

Private Markets: Governance Issues Rise to the Fore

Research Report

Climate Data in the Investment Process: Challenges, Resources, and Considerations