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Statements of Position and Comment Letters

The Investments & Wealth Institute Code of Professional Responsibility  promotes integrity, loyalty, objectivity, and ethical conduct. The articles of incorporation of the Institute, written more than 30 years ago, place great emphasis on ensuring "quality service to the public through developing and encouraging high standards and best practices for the investment and wealth management disciplines." Based on these principles, the Institute is often asked to share comment about issues regarding the financial services industry by various government agencies, associations, and others. 

The Institute, as an education and credentialing organization, generally does not advocate for any particular legislative or regulatory position.

Items submitted include: