Codes of Conduct

At PeakView, integrity is indispensable to our mission. We act with honesty and adhere to the highest standards of moral and ethical values and principles through our personal and professional behavior.

We demonstrate our understanding of these values and principles and uphold them in every action and decision. Trust and trustworthiness go hand in hand with how we conduct ourselves, as we sustain a culture that is based upon ethical conduct.

We expect our actions to be consistent with our words, and our words to be consistent with our intentions. We accept our responsibilities and subject ourselves to the highest standards of public trust. We hold ourselves accountable for our words and our actions.


CFA Code of Ethics & Standards of Professional Conduct

The Code of Ethics and Standards of Professional Conduct are the ethical benchmark for investment professionals around the globe, regardless of job title, cultural differences, or local laws. As a CFA Institute Member, we are required to follow the Code and Standards.

The Code of Ethics maintains that you must:

  • Place the integrity of the profession and the interests of clients above your own interests
  • Act with integrity, competence, and respect
  • Maintain and develop your professional competence

The Standards of Professional Conduct cover:

  • Professionalism and integrity of the capital markets
  • Duties to clients and employers
  • Investment analysis and recommendations
  • Conflicts of interest and your responsibilities


CFA Asset Manager Code

This voluntary code of conduct helps asset managers practice ethical principles that put client interests first. By adopting the Code, asset management firms signal their commitment to commonly held ethical principles.

The principles and provisions address six broad categories:

  1. Loyalty to clients
  2. Investment process and actions
  3. Trading
  4. Risk management, compliance, and support
  5. Performance reporting and valuation, and (6) disclosures. 

The Code also outlines the ethical and professional responsibilities of firms that manage assets on behalf of clients. It states that managers have these responsibilities to their clients:

  • To act in a professional and ethical manner at all times
  • To act for the benefit of clients
  • To act with independence and objectivity
  • To act with skill, competence, and diligence
  • To communicate with clients in a timely and accurate manner
  • To uphold the rules governing capital markets