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Code of Professional Responsibility

Each professional investment consultant shall:
  • Serve the financial interests of clients. All recommendations to clients and decisions on behalf of clients shall be solely in the interest of the clients.

  • Disclose fully to clients services provided and compensation received. All financial relationships, direct or indirect, between consultants and investment managers, plan officials, beneficiaries, sponsors or others shall be fully disclosed.

  • Endeavor to establish and maintain excellence in all aspects of investment management consulting (or all aspects of financial services to clients).
 
  • Provide to clients all requested information as well as other information they may need to make informed decisions. All clients' inquiries shall be answered promptly, completely, and truthfully.

  • Comply fully with all statutory and regulatory requirements affecting the delivery of consulting services to clients.

  • Maintain the confidentiality of all information entrusted by the client, to the fullest extent permitted by law.

  • Maintain the highest standard of personal conduct.

eth*ics(eth' iks), n.pl. the study of standards of conduct and moral judgement.

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