Jeff Cline, Chief Compliance Officer, is 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 the code and standards.
THE CODE OF ETHICS AND STANDARDS
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 January, 2025
Code of Ethics and Standards of Professional Conduct of the CFA Institute