Asset owners are increasingly asking their investment managers about the CFA InstituteAsset 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 thelist? 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. For more information on the CFA Institute Asset Manager Code of Professional Conduct, please visitcfainstitute.org/assetcode.

About the Speaker(s)

Jon Stokes
Jonathan Stokes JD

Mr. Stokes holds a JD and a BA from the University of Virginia.

Professional Experience
Mr. Stokes is the director of professional standards at CFA Institute. He is responsible for development and maintenance of the CFA Institute Code of Ethics and Standard of Professional Conduct, as well as design and management of the CFA Institute Ethical Decision Making training programs.

Mr. Stokes has led teams charged with drafting, revising, interpreting, and maintaining the CFA Institute standards of practice, including the Code of Ethics and Standards of Professional Conduct, CFA Institute Soft Dollar Standards, Trade Management Guidelines, and other standards of practice under development. He has also directed the CFA Institute Professional Conduct Program and worked on developing and interpreting the CFA Institute investment performance standards, including the Global Investment Performance Standards (GIPS) and its predecessors.

Mr. Stokes also serves as a staff liaison to various CFA Institute committees addressing specific issues related to ethics and professional practice.

Prior to joining CFA Institute, Mr. Stokes worked as an attorney specializing in civil litigation.

Glenn Doggett
Glenn Doggett CFA

Mr. Doggett holds a BA in economics from the University of Virginia.

Awarded CFA designation, 2006

Professional Experience
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.

Professional Activities
Mr. Doggett is a member of CFA Virginia.

1 CE

including 1 SER

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