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The CFA Institute Asset Manager Code outlines the ethical and professional responsibilities of organizations that manage assets on behalf of clients. The principles and provisions address six broad categories:
- Act in a professional and ethical manner at all times.
- Act for the benefit of clients.
- Act with independence and objectivity.
- Act with skill, competence, and diligence.
- Communicated with clients in a timely and accurate manner.
- Uphold the applicable rules governing capital markets.
- Step 1
Review your organization’s existing code of ethics, policies, and procedures and compare them to the Code to identify possible gaps or differences.
- Step 2
Refer to the Appendix: Recommendations and Guidance (PDF) and review the interpretations and additional guidance (PDF) to help you determine whether your organization's procedures comply.
- Step 3
Make revisions, as needed, to align with the Asset Manager Code.
- Step 4
Complete the initial Asset Manager Code Compliance Notification Form. To update a previously submitted AMC Compliance Notification Form, use the Update Form instead.
See the organizations that currently claim compliance with the Asset Manager Code.
Tools and Resources
These resources can be used to assist you in reviewing and mapping your existing policies to the principles of the Asset Manager Code.