Advocacy & Outreach

CFA Society Hartford actively helps to shape policy that promotes fair markets and ethical practices in the investment profession through partnerships, promotion of the CFA charter designation brand, and quality programming.

Through our financial literacy initiative, we have formed alliances with many non-profit organizations to educate the investing public.

We have heightened awareness of our brand and standards to local employers by encouraging asset owners and managers to sign on to the Asset Managers Code of Conduct.

Finally, we offer programming to ensure CFA Society Hartford and its members are adhering to the high level of ethics and standards outlined by CFA Institute

Standards and Advocacy is dedicated to working for our members and to moving forward with our mission of promoting integrity, ethics, and professionalism for the greater good, which includes amplifying your voices for reform and stability in the investment industry.

What we stand for

CFA Society Hartford engages in promoting CFA Institute codes and standards, the value of the CFA® charter, and the ethical values of CFA® charterholders. We work collaboratively with CFA Institute to develop advocacy activities by providing insights, views, and opinions on regulatory and ethical issues facing the investment profession and investors in Italy.

Help change finance for the greater good

The global financial industry can be an extraordinary force for good. The Future of Finance project is a long-term global effort to shape a trustworthy, forward-thinking financial industry that better serves society. The project aims to provide the tools to motivate and empower the world of finance to commit to fairness, improved understanding, and personal integrity.

Statement of Investor Rights

As a first step, the Future of Finance project has unveiled the Statement of Investor Rights, a list of principles intended to help buyers of financial service products demand the conduct they are entitled to expect from financial service providers.

View Statement of Investors Rights

Advocacy Committee

The Advocacy Committee coordinates local advocacy outreach efforts and is the primary communications point for CFA Institute advocacy initiatives − ethics, standards, and policy issues. A primary role for the position is to organize and lead a local Advocacy Committee in the planning and implementation of local advocacy activities potentially to include Industry/Investor Outreach, and Regulatory Policy and Research. This committee reaches out to the business community to seek sponsorships for the year and for specific events. This committee also works with other local Societies on a collaborative basis to speak harmoniously.

  • Promotes the CFA charter, CFA Society Hartford
  • Builds relationships with employers and organizations within the society’s region.
  • Advocacy events and activities:
    • Annual Forecast Dinner 2019
    • Asset Manager Code
    • Financial Literacy
    • Investor’s First Program
    • Spring Board Scholarship
    • Greater Hartford Leadership Academy

Employer & Organization Outreach
The goal is to better integrate the CFA Society Hartford into the greater Hartford financial and business community establishing CFA Society Hartford as a leader promoting ethical behavior and best business practices in finance.
Outreach to local organizations including:

  • Guests at the Forecast Dinner
  • Co-Branding events
  • Reciprocal discounts for members to attend events

Investors First
Investors First reinforces the message that fiduciaries should maintain the highest ethical standards when managing capital for the benefit of clients. There are several ways this can be accomplished from political recognition to an educational event.

Professional Conduct Statement

Annually, as part of renewing membership, every member must complete a Professional Conduct Statement to disclose any potential violations of the Code and Standards. Candidates make similar disclosures as part of the registration and enrollment process.

Learn more about the Professional Conduct Statement 

The Disciplinary Process

Our process includes monitoring compliance, investigating allegations, conducting disciplinary proceedings, and imposing sanctions, if necessary. Learn how the Professional Conduct Program handles allegations Industry-Related and Exam-Related Sanctions We track and report disciplinary information as a service to our stakeholders.

Request a member's disciplinary history

View sanction types and statistics on reported allegations 

Report Misconduct

You can help to protect the integrity of CFA Institute membership and designations by reporting conduct that does not meet our standards. Report misconduct by a member or candidate

Connect With Us

Asset Manger Code of Personal 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.

CFA Society Hartford would like to recognize the following local firms for formally adopting the CFA Institute Asset Manager Code:

  • Conning, Inc.
  • Hart Realty Advisers
  • Knights of Columbus Asset Advisors
  • Newfleet Asset Management (division of Virtus)
  • Virtus Investment Partners

Learn more Asset Manager Code of Professional Conduct

Why the GIPS Standards Matter

The Global Investment Performance Standards (GIPS®) are voluntary, ethical standards for calculating and presenting investment performance based on the principles of fair representation and full disclosure.

Investment performance is a fundamental part of all investing, and it is relevant to every investment and to every investor. It is important for the evaluation of progress against objectives, the selection of managers, and the calculation of incentives. Investment firms and asset owners that adopt the GIPS standards display their commitment to ethics and transparency and instil investor confidence.

To ensure continued relevance, the GIPS standards are developed by CFA Institute in partnership with industry experts and GIPS Standards Sponsors from around the globe.

Professional Conduct Program

To protect the integrity of CFA Institute membership, designations, and exam programs, CFA Institute upholds the Code of Ethics and Standards of Professional Conduct (Code and Standards), all exam rules and regulations, and the CFA Institute Bylaws.

The Professional Conduct Program administers the disciplinary process for CFA Institute, using the Bylaws and Rules of Procedure as guidance for conducting investigations into allegations, determining violations, imposing sanctions, conducting disciplinary proceedings, and disclosing violations.

Learn more about the Rules of Procedure