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Ethics and Standards of Professional Conduct

SAAJ Standards of Professional Conduct for Securities Analysts are ethical guidelines regarding professional conduct which SAAJ members are required to comply with. SAAJ periodically reviews and revises the Standards so as to incorporate new developments in ethical issues as well as the changing business environment, thereby establishing and maintaining the highest ethical standards for the profession in the investment industry. To promote and stimulate the application of the Standards in daily practice, Practice Handbook for Standards of Professional Conduct, which provides commentaries on the Standards with practical cases, is published and reviewed/updated by SAAJ on a regular basis. The Handbook is distributed to all SAAJ members and also used as the CMA Level II textbook for the subject of Ethics and Professional Standards.

SAAJ also issues several position papers and guidance to promote and enhance the implementation of professional ethics and to respond to new developments.


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