Authored by: Karen Lyons, CSDS; Regulatory Compliance Manager, i-SIGMA “Still using your first pet’s name followed by “!, @, or &” password to access your 401(k) account? Sorry,...
Board Approves Code of Ethics and Ethics Complaint Resolution Process
“When you boil it down to basics, an association’s Code of Ethics is where it all starts,” says i-SIGMA CEO Bob Johnson. “They reflect the industry’s values.”
“But we have to remember,” Johnson adds, “the Code of Ethics means nothing without a structured process for their enforcement.
That being the case, readers will not be surprised that when the i-SIGMA Board of Directors recently approved the association’s new Code of Ethics, they also approved the i-SIGMA Compliant Resolution Guidelines. With these two necessary elements now in place, industry participants and the clients they serve have a clear method for reporting ethical violations and of being sure the process is fair, regardless of which side of the table they’re on.
Read the i-SIGMA Code of Ethics
Read the i-SIGMA Compliant Resolution Guidelines
Access the Ethics Complaint Form