3i Wealth Management

3i Wealth Management has adopted CFA Institute’s Code of Ethics and Standards of Professional Conduct. 

The CFA Institute’s Code of Ethics and Standards of Professional Conduct are considered to be the ethical benchmark for professionals in the investment management industry.  The Code of Ethics are as follows:

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THE CODE OF ETHICS

Members of CFA Institute (including CFA charterholders) and candidates for the CFA designation (“Members and Candidates”) must:

• Act with integrity, competence, diligence, respect and in an ethical manner with the public, clients, prospective clients, employers, employees, colleagues in the investment profession, and other participants in the global capital markets.

• Place the integrity of the investment profession and the interests of clients above their own personal interests.

• Use reasonable care and exercise independent professional judgment when conducting investment analysis, making investment recommendations, taking investment actions, and engaging in other professional activities.

• Practice and encourage others to practice in a professional and ethical manner that will reflect credit on themselves and the profession.

• Promote the integrity and viability of the global capital markets for the ultimate benefit of society.

• Maintain and improve their professional competence and strive to maintain and improve the competence of other investment professionals.

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Standards of Professional Conduct Include:

• Professionalism

• Integrity of Capital Markets

• Duties to clients – including loyalty, prudence, and care

• Duties to employers

• Investment Analysis, Recommendations, and Actions

• Conflicts of Interest – including disclosures, priority of transactions, and referral fees

• Responsibilities as a CFA Institute Member or Candidate

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