Standards of Practice Policy Group
Our group establishes and interprets ethical standards and recommended practices applicable to the investment industry. We foster the integrity of the capital markets through our work.
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Our Hallmark
The CFA Institute Code of Ethics and Standards of Professional Conduct are the ethical cornerstone of CFA Institute |
What We Do
Research Objectivity Standards
We developed best practice guidelines for analyst and corporate issuer relationships as part of our efforts to to enhance analyst independence, minimize and disclose conflicts of interest, and improve the integrity of investment research.
Our trade management guidelines provide investment firms with a framework to make good trade-execution decisions.
Asset Manager Code of Professional Conduct
Our Asset Manager Code is the model template for the voluntary, investor-focused approach to self regulation. It outlines the ethical and professional responsibilities of firms that manage assets on behalf of clients
We've developed these standards to provide investment professionals with guidance on how to use client brokerage ethically and in a manner that benefits clients.