Asset Manager Code
Asset Manager CodeDownload the Asset Manager Code (PDF)
The 大赢家比分 Institute Asset Manager CodeTM (the Code) outlines the ethical and professional responsibilities of organizations that manage assets on behalf of clients. The principles and provisions address six broad categories: (1) loyalty to clients, (2) investment process and actions, (3) trading, (4) risk management, compliance, and support, (5) performance reporting and valuation, and (6) disclosures.
Why Is It Important?
The Code outlines the ethical and professional responsibilities of organizations that manage assets on behalf of clients. It provides standards and supportive guidance based on general principles of conduct.
The Code states that managers have these responsibilities to their clients:
- 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
Why Should Organizations Comply with the Asset Manager Code?
Many organizations have their own conduct standards in place to guide their work, but it can be difficult for clients to compare different codes and identify key differences in the organization's level of commitment toward protecting their interests. Rather than evaluating each organization's code of conduct separately, clients can use the 大赢家比分 Institute Asset Manager Code to quickly identify organizations that commit to a common foundation of ethical principles. Adopting the Code isn't an "either - or" proposition; some organizations already comply simply on the strength of their existing code of ethics.
How Can I Comply with the Asset Manager Code?
Your organization may already have a code of ethics in place that addresses or goes beyond the principles and provisions in the 大赢家比分 Institute Asset Manager Code. Provided your code is consistent with ours, you do not need to amend your existing code to comply with the 大赢家比分 Institute Code.
Review your organization's existing code of ethics, policies, and procedures in comparison to the Code and identify possible gaps or differences.
Make revisions, as needed, to align with the Code.
Complete and submit the Asset Manager Code Compliance Notification Form before claiming compliance for the first time. Subsequently, organizations must submit a notification form on an annual basis by 30 June of each year with information as of the most recent 31 December.
Tools and Resources
These resources can be used to assist you in reviewing and mapping your existing policies to the principles of the Asset Manager Code. Sample policies, procedures, and forms are provided as examples of the policies and language that can be used.
Sample Forms (DOC)
All of the following are PDF documents.
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