CFA Society Melbourne

Codes and Standards

  • An Overview of Compliance with the CFA Institute Asset Manager Code of Professional Conduct

    July 19, 2015

    Market Integrity and Advocacy Webcasts
    CFA Institute Live Webinars
    Source: CFA Institute
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    00:51:55, audio webcast, recorded on 28 January 2015
    Posted on 28 January 2015

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    Summary

    Asset owners are increasingly asking their investment managers about the CFA Institute Asset Manager Code of Professional Conduct (“the Code”). Investors place a significant emphasis on ethics and integrity when selecting an outside manager. Asset Manager Code compliance is a critical step any asset manager can take to demonstrate a strong commitment to working in the best interest of clients.

    Hundreds of firms, including the likes of BlackRock, Inc., LGM Investments, and TD Asset Management have made this commitment and claim compliance with the Asset Manager Code. Is your firm on the list? If not, what’s holding you back?

    CFA Institute Director of Professional Standards Jon Stokes and Director of Standards of Practice Glenn Doggett, CFA, provide guidance on how to comply with the Asset Manager Code of Professional Conduct and how it can make a difference for your organization, including:

    • Why asset owners/investors are interested in the Code
    • An overview of significant provisions of the Code
    • Commonly asked questions about compliance
    • How to incorporate the Code into the RFP process

    This is an archived recording of a live webinar that took place on 28 January 2015.

     

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