Ethics Guidelines

High ethical standards matter, according to 87 percent of clients in a recent study. The Institute sets the standards and practices for the investment and wealth management professions, and provides the credentials and tools required for advisors to best serve their clients. 

Institute Guidelines

The Code of Professional Responsibility promotes and maintain the high standards of personal and professional conduct. All Institute members are subject to the Code.

The Disciplinary Rules and Procedures of the Institute outlines the process, rules and procedures through which CIMA, CIMC, RMA and CPWA certificants are held to the Institute's standards and provide enforcement measures. 

All CIMA, CPWA, CIMC, and RMA certificants must agree to continued adherence to the Institute's Marks Usage Guide, which provides guidance on properly using the appropriate marks in different types of communications, as well as an antitrust statement.

Ethics Education Resources

An online ethics on-demand continuing education library provides 24/7 access to an array of offerings, including these topics:

On-Demand Ethics Courses
Complete On-Demand Library Catalog