Jeff Cline, Chief Investment Officer, is a member of the Investments & Wealth Institute and as a member has adopted the following Code of Professional Responsibility. In addition, he is also a member of the CFA Institute and has also adopted their Code Of Ethics and Standards of Professional Conduct. All associates of Responsible Asset Management are required to adhere to both codes.
THE CODE OF PROFESSIONAL RESPONSIBILITY
This Code has been adopted to promote and maintain a high standard of professional conduct in the investment management consulting profession. All members of the Investments & Wealth Institute® are expected to subscribe to the Code, which serves to assure public confidence in the integrity and service offered by professional investment management consultants.
EACH FINANCIAL PROFESSIONAL SHALL:
- Act in the best interest of the client.
- Disclose services to be offered and provided, related charges, and compensation.
- Disclose the existence of actual, potential, and/or perceived conflicts of interest and relevant financial relationships, direct and/or indirect. Take appropriate action to resolve or manage any such conflicts.
- Provide clients information needed to make informed decisions.
- Respond to client inquiries and instructions appropriately, promptly, completely, and truthfully.
- Maintain confidentiality of client information, however acquired, consistent with legal and regulatory requirements and firm policies.
- Provide competent service by truthful representation of competency, maintenance and/or development of professional capabilities, and, when appropriate, the recommendation of other professionals.
- Comply with legal and regulatory requirements related to one’s practice of his or her profession.
- Maintain a high level of ethical conduct.
Effective May, 2016
Code of Ethics and Standards of Professional Conduct of the CFA Institute