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A Member of the CFA Institute Global Network of Societies

About Putting Investors First Month: May 2015

Putting Investors First Month is a global initiative created by financial professionals who place the interests of investors above their own, and to build awareness of the fiduciary duty to protect investor interests. The event is presented by CFA Institute, the global association of investment professionals that sets the standard for professional excellence and credentials.

Putting Investors First Month features a series of events and outreach throughout the month of May, hosted by hundreds of CFA Institute members and many of the organization's 140 member societies worldwide. Putting Investors First Month is part of the Future of Finance project, a long-term global effort to shape a trustworthy, forward-thinking financial industry that better serves society.

For more information about Putting Investors First Month and a list of community events, visit www.cfainstitute.org/FutureFinance

Resources:

Statement of Investor Rights

When engaging the services of financial professionals and organizations, I have the right to...
1. Honest, competent, and ethical conduct that complies with applicable law; 
2. Independent and objective advice and assistance based on informed analysis, prudent judgment, and diligent effort;
3. My financial interests taking precedence over those of the professional and the organization;
4. Fair treatment with respect to other clients;
5. Disclosure of any existing or potential conflicts of interest in providing products or services to me;
6. Understanding of my circumstances, so that any advice provided is suitable and based on my financial objectives and constraints;
7. Clear, accurate, complete and timely communications that use plain language and are presented in a format that conveys the information effectively;
8. An explanation of all fees and costs charged to me, and information showing these expenses to be fair and reasonable;
9. Confidentiality of my information;
10. Appropriate and complete records to support the work done on my behalf.

Asset Manager Code of Conduct

  • To act in a professional and ethical manner at all times
  • To act for the benefit of clients
  • To act with independence and objectivity
  • To act with skill, competence, and diligence
  • To communicate with clients in a timely and accurate manner
  • To uphold the rules governing capital markets

Policy briefing on High Frequency Trading (HFT)

Global Market Sentiment Survey 2015. CFA Institute members from around the world offer an outlook on financial markets, integrity, and performance.  

 50 ACTIONS YOU CAN TAKE TO BUILD TRUST AND ENHANCE YOUR FIRM'S REPUTATION 

Standards of Practice Handbook, Eleventh Edition contains the CFA Institute Code of Ethics and Standards of Professional Conduct with related guidance and examples illustrating application of the Standards in the day-to-day professional activities of members and candidates.