IMCA Code of Professional Responsibility

Each professional investment management consultant shall:

• Serve the financial interests of clients. Each professional shall always place the financial interests of the client first. All recommendations to clients and decisions on behalf of clients shall be solely in the interest of providing the highest value and benefit to the client.
• Disclose fully to clients services provided and compensation received. All financial relationships, direct or indirect, between consultants and investment managers, plan officials, beneficiaries, sponsors, or any other potential conflicts of interest shall be fully disclosed on a timely basis.
• Provide to clients all information related to the investment decision-making process as well as other information they may need to make informed decisions based on realistic expectations. All client inquiries shall be answered promptly, completely, and truthfully.
• Maintain the confidentiality of all information entrusted by the client, to the fullest extent permitted by law.
• Comply fully with all statutory and regulatory requirements affecting the delivery of consulting services to clients.
• Endeavor to establish and maintain excellence personally and among colleagues in all aspects of investment management consulting and all aspects of financial services to clients.
• Support and participate in the activities of the Investment Management Consultants Association to enhance the investment management consulting profession.
• Maintain the highest standard of personal and professional conduct.

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