Act Ethically: Exceptional Advisors Put Clients First

Upholding the highest ethical standards benefits you, your clients, your firm, and the financial advising profession as a whole.

Ethical Principles Are the Foundation for Trusted Relationships

It’s not just the designation an advisor holds, but what it represents. When asked about what was most important in a financial advisor relationship, respondents to our survey from said ethics, trust, and knowledge rank the highest.

87% of clients surveyed said high ethical standards matter.

86% of clients said it was somewhat or very important to know:

  • Their advisor had met a rigorous set of standards

  • Their advisor meets ongoing standards and requirements

  • Whether their advisor would lose their credentials if they failed to meet ethical standards

Know the Code, Uphold the Requirements

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 and market to their clients.

Code of Professional Responsibility

Investments & Wealth Institute’s Code of Professional Responsibility promotes and maintains the highest standards of personal and professional conduct. All IWI certificants and members are subject to the Code.

Understand the Code

Meaningful Certification Marks

All CIMA®, CPWA®, 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.

Get Marks Usage Guidance

Disciplinary Rules and Procedures

IWI maintains formal rules, processes, and procedures—and enforcement measures—through which CIMA®, RMA®, and CPWA® certificants are held to our standards.

Understand Our Disciplinary Process

Continuing Education in Ethics

To renew and maintain your IWI certifications, you must complete 40 hours of continuing education (CE) credits—including 2 hours of ethics instruction—every two years.

We make it easy.

Explore CE Opportunities
View the Complete Online Learning Catalog