CIMA Society Asia Pacific - Code of Ethics
CIMA Society Asia Pacific is the community of practice for investment and wealth professionals in the Asia Pacific. We advance knowledge and collaboration among those involved in any aspect of constructing and/or giving advice on multi-asset, multi-manager investment portfolios.
CIMA Society encourages, recognises and supports a range of investment credentials and designations amongst our members, including Certified Investment Management Analyst® (CIMA®) as the peak, international technical portfolio construction certification credential for investment management analysts.
All CIMA Society Asia Pacific members commit to upholding the CIMA Society Asia Pacific Code of Ethics, attesting to the Code on joining CIMA Society and then at each annual membership renewal.
The Code is based on four values:
1. Integrity
I will embrace honesty by:
- being clear and truthful in communications;
- aligning actions with words; and,
- taking action to prevent damage to the investment profession if dishonesty by me or my colleagues is known or observed.
I will espouse competence to ensure services are provided skilfully and within areas of my expertise by:
- possessing sufficient knowledge, skills, abilities, training, and experience for specific roles in or relating to investment or wealth management consulting or advice on products and services;
- meeting required continuing education and/or pursuing advanced education as necessary for skills appropriate for the specific role(s) that I may fulfill;
- understanding and providing services only within the scope of my competencies; and,
- possibly identifying, referring, or engaging other members with specific expertise to serve clients who have needs beyond the scope of my skills and knowledge.
2. Loyalty
I aspire to the principals that:
- the needs of clients are my primary concern;
- I support high standards of service to clients; and,
- I show other members of the CIMA Society respect.
3. Objectivity
If giving investment advice, I seek to:
- formulate analyses and recommendations using a framework that includes fair and objective professional guidelines, standards, and professional judgment;
- communicate clearly historical facts and distinguish historical facts from expert or personal opinions in reporting results and/or making recommendations; and,
- report both negative and positive performance and other outcomes in a balanced way.
I recognise that the intended result of objectivity is greater transparency, accuracy, and reliability of services provided in the client’s best interest.
4. Ethical Conduct
I will maintain a high level of ethical conduct and recognise that the intended result of ethical behaviour is accountability. As a result of incorporating these values, I build trust, exhibit credibility, and foster accountability as I act in the best interest of my clients.