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Distance Learning
Distance Learning

OD: Ethics and Financial Markets: What Every Endowment Management Professional Should Know

Recorded on Tuesday, December 13, 2016 1:00PM ET


The financial services industry recognizes the importance of creating a resilient and pervasive culture based on ethics and mutual understandings. As a fiduciary, you are charged with managing assets while taking into consideration the complexities of investment policies, asset allocation, governance, and more. This webcast will highlight the CFA Institute Integrity List, a collection of 50 tangible steps that those involved in the investment industry can take to restore trust in the industry, as well as the Endowments Code of Conduct, which further establishes an ethical framework for governing body members at your college/university.

In addition, this session will discuss the importance of reviewing investment strategy and practices regularly. Learn about how the review of investment management and consulting services to include specialty, boutique and emerging firms can help your endowment meet investment performance and risk management objectives.

What You Will Learn

After participating in this program, you will learn to:

  • Demonstrate an understanding of ethics and fiduciary responsibility for all staff and board involved in endowment management.
  • Identify if your endowment should consider adopting the CFA Institute’s “Investment Management Code of Conduct for Endowments, Foundations, and Charitable Organizations” to show your commitment to the best interests of stakeholders and beneficiaries.
  • Develop a list of questions to ask service providers (i.e., investment managers, investment consultants) when reviewing investment policies, strategy and practices to ensure your endowment is set-up for long-term investment success.

Meet the Presenters

  • Orim Graves, CFA, executive director of the National Association of Securities Professionals (NASP) and board member, Dillard University
  • Michael McMillan, PhD, CPA, CFA, director of institutional partnerships, CFA Institute
  • Bob Shea, senior fellow, finance and campus management, NACUBO

Who Should Attend

  • Chief investment officers
  • Chief financial officers
  • Investment directors/officers across all asset classes
  • Investment analysts
  • Board members/trustees on the investment committee
  • Risk management
  • Endowment investment operations personnel

Course Information

  • Length: 75 minutes


Member Site Registration: $129.00
Non-Member Site Registration: $159.00


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  • Windows XP/Vista/7
  • Windows Media Player 10,11 or 12
  • Adobe Acrobat Reader 7.0 or later
  • Flash Player 10.x

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CPE Information

NACUBO is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: