Code of Ethics

  • Act with integrity, competence, diligence, and respect and in an ethical manner with the public, clients, prospective clients, employers, employees, colleagues in the financial advice profession, and other participants.
  • Place the integrity of the financial advice profession and the interests of clients above our own personal interests.
  • Use reasonable care and exercise independent professional judgment when conducting analysis, making recommendations, taking actions, and engaging in other professional activities.
  • Practice and encourage others to practice in a professional and ethical manner that will reflect credit on themselves and the profession.
  • Promote the integrity and viability of the financial advice profession for the ultimate benefit of society.
  • Maintain and improve our professional competence and strive to maintain and improve the competence of other financial advice professionals.