Market Regulation:
Regulation of Market Participants
The integrity of the world markets is maintained when regulators require investment professionals to register or otherwise demonstrate that they have achieved appropriate credentials through exams, continuing education, and professional experience and knowledge. Understanding and verifying the work experience, responsibilities, and knowledge of those working in the investment business helps ensure that only the most highly qualified, ethically sound professionals serve as investment advisers and analysts.
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Regulatory Waivers for CFA Charterholders
Complete this form (PDF) if you are registering as an investment adviser or representative through IARD and want a waiver from state competency exams |
The CFA Institute Centre has a broad range of codes and standards that provide investment professionals and their firms with the ethical foundation necessary to sustain a high level of professional integrity, including the:
- Asset Manager Code of Professional Conduct
- CFA Institute Code of Ethics and Standards of Professional Conduct