Advisor characteristics such as trust, expertise, and ethics have always been core to the Exceptional Advisor. High ethical standards matter, according to 83 percent of clients
in a recent Investor Study.
82% of clients said knowing their advisor would lose his/her credentials if he/she failed to meet ethics standards, knowing their advisor had met a rigorous set of standards, knowing their advisor had met ongoing standards was somewhat or very important.
The Institute sets the standards and practices for the investment and wealth management professions, and provides the credentials, education and tools required for advisors to best serve their clients.
Institute Ethics Standards
- 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®, CPWA®, and RMA® certificants are held to the Institute's standards and provide enforcement measures.
- All CIMA®, CPWA®, and RMA® professionals 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 Requirements
The Institute also requires all CIMA®, CPWA®, and RMA® professionals to complete two hours of ethics education as part of their 40 hours of continuing education every two-years to maintain their credentials.
See the On-Demand offerings available through the Institute.