Views on the integrity of global capital markets

Asset Manager Code


Asset Manager Code Global Footprint Now Includes Thailand, Mongolia, and Indonesia

Countries in the Asia-Pacific region are taking steps to encourage ethical practices at asset manager firms in their capital markets by promoting or adopting the CFA Institute Asset Manager Code.

Asset Owners Voice Their Strong Support of the Asset Manager Code

For the second straight year, CFA Institute sponsored an open letter from 16 influential asset owners calling for asset managers to comply with the Asset Manager Code.

CFA Institute Asset Manager Code Gives Firms Head Start on Operational Due Diligence

Thorough, independent operational due diligence provides investors with a review of investment firms’ operational standards and the ethical conduct of its managers.

CFA Institute Asset Manager Code: New Compliance Platform and Annual Notification

In a continuing effort to build market integrity, CFA Institute has made it easier and more efficient to adopt the Asset Manager Code. It will also begin requiring annual notification of compliance.

Asset Owners, Managers Need to Step Up to Turn the Value Chain on Its Head

The asset management industry needs to strive to become a profession that is signified by an impassioned commitment to set aside self-interest for the sole purpose of meeting client outcomes

Code and Standards: Are You Living Up To Your Annual Pledge?

CFA Society Sri Lanka is working to improve financial market integrity. Its commitment to putting investors first, upholding the highest standards of ethics and business practices is exciting to see.

Our Asset Manager Code Meets Investor, Industry Needs, But Don’t Ask Us…

Pension plan sponsors, including CalSTRS, CalPERS, and PRIM, have signed a letter endorsing our Code. Its timing coincides with several of our initiatives, including Putting Investors First Month.

CFA Institute Standards: What Is Stance on Funds That Skip Traditional Analysis?

True or False: The principles of diligence and reasonable basis, addressed in our Code of Ethics and Standards of Practice, can apply to any investment strategy, any time, present or future.

1,200 Firms and Counting: Asset Manager Code Gains Global Foothold

As more institutional funds include questions about the Asset Manager Code in their RFPs, investment managers will further recognize the business rationale of compliance.

Court Muddies Water on Insider Trading, but CFA Institute Code and Standards Are Clear

Despite courts’ waffling on insider trading, the CFA Institute Code and Standards are constant: If you know the information is material and not in the public domain, don’t trade or cause others to trade by disclosing it.

Edelman Trust Barometer 2015: Finance Services Industry Still Has Room for Improvement

Public views of banks and financial services remain largely unchanged while media ranks as the least-trusted institution in the survey.

BlackRock Adopts CFA Institute Asset Manager Code of Professional Conduct

World’s largest asset manager is latest firm to pledge ethical behavior to shape a more trustworthy financial industry.

Aligning Ethical Conduct for Investment Committee Members’ Dual Roles

CFA Institute offers several resources to help investment committee volunteers carry out ethical obligations.

Can CFA Charterholders Work for Investment Firms with Records of Illicit Activity?

Does working for a firm that has admitted or been found guilty of legal or regulatory violations conflict with a CFA charterholder’s duties?

The Role of Ethics in Shaping the Future of Hong Kong’s Investment Industry

The view that a corporate culture promoting ethical behavior represents a competitive advantage for asset managers is gaining momentum in Asia.



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