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Code of conduct

The code of conduct is the core element of the code of the self-regulation. It is deliberately restricted to the essentials and specifies the minimum standards that are to be observed. It thus takes into account the differences in business operations of the licensees that must comply with its provisions.

The Code of Conduct covers the main functions of the fund business:

  • the management and administration of collective investment schemes
  • the investment of the assets of a collective investment scheme
  • communication with investors
  • distribution

The Code of Conduct also gives more specific guidance on duties required by law, such as:

  • due diligence
  • duty of loyalty
  • duty of disclosure

SFAMA CoC_e_Code of Conduct_141007

Code of Conduct of the Swiss Funds & Asset Management Association SFAMA (SFAMA Code of Conduct) - 7 October 2014