Asset Manager Code™
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.
How Can We Comply with the Asset Manager Code?
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Step 1Review your organization’s existing code of ethics, policies, and procedures and compare them to the Code to identify possible gaps or differences.
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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.
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Step 3
Make revisions, as needed, to align with the Asset Manager Code.
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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.
