The Ethics Principles
At the heart of ethical investment lies a commitment to professionalism and integrity. CAIA's eight Ethics Principles serve as a guide for investment professionals to excel in 'doing the right things' and 'doing things right.'
These principles don't just set a standard—they invite professionals to think critically, adapt, and navigate through the unique ethical dilemmas inherent in a capital market.
Why Our Principles Matter.
Because ethical choices define sustainable success. These principles aren’t a mere checklist; they are a call to cultivate discernment and exercise ethical judgment, ensuring that our actions reflect our commitment to the highest standards of integrity.
Navigating Ethical Challenges.
No principle can capture the nuance of every situation. That’s why each professional is empowered to interpret, analyze, and apply these guidelines in ways that resonate with both the spirit and the letter of ethical practice.
Building a Legacy of Trust.
By embracing these principles, investment professionals contribute to shaping the future of ethical investing and establishing a legacy of trust and responsibility.
Doing the Right Things.
Ethics and Professionalism at the Core
As investment professionals, we are the stewards of both our clients’ wealth and broader societal impact. By integrating sustainability, human rights, inclusiveness, and human capital considerations into every investment decision, we uphold a culture of ethics and professionalism and prioritize our clients’ interests without compromising wider stakeholder value.
Partnership Over Superiority
We approach each client relationship as a partnership, leveraging our specialist skills not as a means to assert superiority but to fuel mutual success. By fostering an environment of deep trust, empathy, and open communication, we ensure that we meet client expectations and resolve issues through honest, constructive dialogue.
Client-Centric Decision Making
Our client-first philosophy means we dedicate ourselves to understanding our clients' unique needs and aspirations. This commitment nurtures purpose-driven relationships, instills loyalty, and builds a foundation of trust that strengthens over time.
Transparent and Authentic Communication
Transparency and authenticity are the pillars of all our interactions. We strive to maintain clear, accurate, and genuine communication with everyone we engage with—be it clients, employees, investee companies, or regulators—ensuring that our actions are aligned with our words.
Doing Things Right.
Evidence-Based Practices
Adherence to well-defined investment skills and evidence-based practices ensures our methodologies are rooted in rigorous analysis and continuous learning. By aligning with the latest industry theories and best practices, we maintain the highest standards in fulfilling our duties and responsibilities.
Comprehensive Risk Management
Our dedication to thorough research, due diligence, and in-depth understanding of the client’s circumstance allows us to expertly manage and mitigate risks. We adopt a holistic approach to risk management, ensuring all relevant risks and outcomes are comprehensively addressed.
Adaptability and Continuous Improvement
In an ever-evolving industry, our commitment to self-improvement sets us apart. We embrace change, foster self-learning, and continuously develop our skills to stay ahead in a dynamic landscape.
Collaborative Excellence
Through peer review, diverse knowledge, critical thinking, and varying perspectives, we enhance the accuracy and insightfulness of our advice and communications. By collaborating with fellow investors within our firm and across the industry, we add collective value, particularly in situations that benefit from a united approach.