Ethics: Financial Planner Code of Professional Responsibility

The CIMA Society of Australia Code of Professional Responsibility was adopted to promote and maintain the highest standard of personal and professional conduct in the investment and wealth management profession. All CIMA Society of Australia members are expected to adhere to the Code, which serves to assure public confidence in the integrity and service offered by professional investment and wealth advisors.
CIMA Society of Australia members, candidates in CIMA Society of Australia certification programs, CIMA® and CIMA Society of Australia certificants ("CIMA Society of Australia professionals") are required to adhere to the following principles:
  1. Act in the best interest of the client.
  2. Disclose services to be offered and provided, related charges, and compensation.
  3. Disclose the existence of actual, potential, and/or perceived conflicts of interest and relevant financial relationships, direct and/or indirect. Take appropriate action to resolve or manage any such conflicts.
  4. Provide clients information needed to make informed decisions.
  5. Respond to client inquiries and instructions appropriately, promptly, completely, and truthfully.
  6. Maintain confidentiality of client information, however acquired, consistent with legal and regulatory requirements and firm policies.
  7. Provide competent service by truthful representation of competency, maintenance and/or development of professional capabilities, and, when appropriate, the recommendation of other professionals.
  8. Comply with legal and regulatory requirements related to one’s practice of his or her profession.
  9. Maintain a high level of ethical conduct.
More information about the Code of Professional Responsibility 
The above link will redirect to the US-based Investments and Wealth Institute website