Principles of Conduct

Managers have the following responsibilities to their clients.
Managers Must:

  1. Act in a professional and ethical manner at all times.

  2. Act for the benefit of clients.

  3. Act with independence and objectivity.

  4. Act with skill, competence, and diligence.

  5. Communicate with clients in a timely and accurate manner.

  6. Uphold the applicable rules governing capital markets.

CFA code of Ethics and Standards of Professional Conduct.