An Overview of Compliance with the CFA Institute Asset Manager Code of Professional Conduct

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Market Integrity and Advocacy Webcasts
CFA Institute Live Webinars
Source: CFA Institute

00:51:55, audio webcast, recorded on 28 January 2015
Posted on 28 January 2015

Director of Professional Standards, CFA Institute
Director of Standards of Practice, CFA Institute


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.

For more information on the CFA Institute Asset Manager Code of Professional Conduct, please visit

View the slides for this presentation.
Credits · About the CE Program
1 CE (including 1 SER) Manage CE Credits

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