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CFA Level 3
Ethical and Professional Standards

Investment Process and ESG Integration in Asset Management

Hard Asset Manager Code Investment Process

As an asset manager, you are responsible for adhering to the Asset Manager Code of Conduct, which emphasizes the importance of a disciplined and rigorous investment process. You have recently been approached by a potential client who is interested in your firm’s approach to sustainable investing and how it integrates ESG (Environmental, Social, Governance) factors into your investment decision-making process.

In your response to this client, describe how your firm’s investment process aligns with the principles of the Asset Manager Code, focusing on the integration of ESG factors. Discuss the specific steps taken in your investment process, how you ensure that these ESG factors are appropriately considered and analyzed, and how you communicate this integration to clients and stakeholders.

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