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Professionalism in Investment Management

Posted on January 6, 2021January 20, 2021 by financialeducation

As a relatively young profession, investment management has not established the same level of professionalism as other industries. Further, because of the interconnected global nature of the profession, local regulatory bodies have less influence and can often issue conflicting laws.

Recognizing these shortcomings, CFA Institute has striven to become an advocate for best practices worldwide. CFA Institute’s mission is “to lead the investment profession globally, by promoting the highest standards of ethics, education, and professional excellence for the ultimate benefit of society.”

The CFA Institute code of ethics and Standards of Professional Conduct have been widely adopted by firms around the world. When client interests and market interests are in conflict, CFA Charterholders must place market integrity first, and CFA Institute advocates for regulations that better align firm and client interests.

CFA Institute also serves as a leading educational organization through the CFA Program, CIPM Program, and other efforts. CFA Charterholders receive regulatory recognition in many countries, exempting them from local educational requirements. Continuing education for members is also fostered through local societies, the Financial Analyst’s Journal, and the CFA Institute Research Foundation.

This post addresses a learning outcome in “Ethics and Trust in the Investment Profession,” which is part of the curriculum for the CFA Program.

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