What constitutes fair dealing by Members and Candidates?

Fair dealing by Members and Candidates in the context of the investment profession is fundamentally about prioritizing the interests of the client above all else. This means that decisions must be made objectively, with a clear focus on what is in the best interest of the client, rather than being influenced by personal biases, sentiments, or external pressures.

When Members and Candidates ensure their decisions are grounded in the specific needs and objectives of their clients, they uphold the ethical standards expected in the investment community. Such an approach fosters trust and integrity, which are essential for maintaining professional relationships and for the broader functioning of financial markets.

This focus on client interests over personal preferences or a limited set of available options highlights a commitment to transparency and fairness in dealing with clients. By adhering to these principles, investment professionals can effectively avoid conflicts of interest and ensure that their clients receive suitable and appropriate investment advice.

In essence, the importance of objective decision-making tailored to client interests stands at the core of what constitutes fair dealing in the investment industry.