Known for its high ethical standards in portfolio management, the Institute has begun to address private wealth in recent years. The list places responsibility for ensuring the integrity of the wealth management industry squarely in the hands of those who work within it.
This involves keeping an eye out for inappropriate products as well as educating clients on risks of certain investment strategies even as they seek above market income and returns. Eliminating conflicts in the financial advice business model is also at the top of the list.
The list was formed from suggestions elicited from investment professionals by the Institute. The 50th anniversary of the CFA Institute’s Code of Conduct along with the current discussion on fiduciary duty seemed to be an appropriate time to create an added list of integrity benchmarks.


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