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.

About the Speaker(s)

Jon Stokes
Jon Stokes

Jon Stokes is the Director, Ethics and Standards Education at CFA Institute. His responsibilities include, design and creation of online ethics education, development and maintenance of the CFA Institute Code of Ethics and Standards of Professional Conduct, and the design and management of the CFA Institute Ethical Decision-Making and Giving Voice to Values education programs. Stokes holds a JD degree.

Glenn Doggett
Glenn Doggett CFA

Mr. Doggett is a director of professional standards for CFA Institute. His responsibilities include providing member guidance in applying the ethics and standards of practice policies, supporting related educational and public awareness activities, and working with the Standards of Practice Council of CFA Institute on its initiatives. Previously, Mr. Doggett, as a member of the CFA Institute Financial Reporting Policy Group, represented membership interests regarding reporting and disclosures initiatives, including XBRL.

Prior to joining CFA Institute, Mr. Doggett worked in the financial information sector with SNL Financial. There his work focused on the real estate and energy industries, directing the development and maintenance of a financial data storage system. Mr. Doggett regularly provided insights to the media on events and performance of the Real Estate Investment Trust industry.

Mr. Doggett holds a BA in economics from the University of Virginia. He was awarded the CFA designation in 2006 and is a member of CFA Virginia.

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