Code of Conduct

Code of Professional Conduct

Members of Advocis London hold themselves to the highest of professional standards and adhere to a thorough Code of Professional Conduct.  Any disputes that arise due to alleged violations of our Code are resolved within the Advocis membership.

An Advocis Member:

  • Shall offer and provide services with integrity.
  • Shall provide services competently.
  • Shall provide services in a diligent manner.
  • Shall not disclose any confidential information without expressed consent.
  • Shall strive to provide services that meet a client’s best interests.
  • Shall disclose any conflict of interest in providing services.
  • Shall reflect positively upon all other Advocis Members.
  • Shall respect and protect the privacy of others.
  • Shall respect the spirit and the letter of the law.


An important function for Advocis, as a voluntary professional association, is the self-disciplinary role necessary to ensure that an Advocis Member conducts his or her actions in accordance with the CPC.

In abiding by the CPC, an Advocis Member is also expected to report to Advocis any breach or

possible breach of the CPC by any other Advocis Member.  Disciplinary sanctions may be imposed against an Advocis Member for any action that is found to violate the letter and spirit of this Code. 

A Disciplinary Procedure may be initiated for the purpose of determining if the conduct

of a Member has breached the CPC.  Anyone may request the initiation of the Disciplinary Procedure by filing a Request for Investigation (RFI) with the CLU Institute at our National office.

Staff of the CLU Institute will conduct an investigation after a written RFI has been filed, to determine if the investigation has merit, and should move forward with Advocis, or another regulatory body.

Any Market Conduct inquiries should be directed to Earleen Moulton, BA, AIRC, CIM, FSCI

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