Looking to invest your
savings responsibly?

RIAA Certification helps you find a better option.

HOW TO BECOME CERTIFIED

Are you a financial adviser advising clients on ethical investments and want to your credentials to stand out from the crowd?

Do you have a responsible or ethical investment product that you would like investors to find more easily?

Find out the requirements and what is involved in becoming Certified.

Certification is available for RIAA members to apply as:

 

A Certified Financial Adviser (including certifying as an adviser Dealer Group)

  • A Certified Investment Product (including retail or wholesale funds across all asset classes, superfund options, as well as other investment products – ETFs, LICs, SMAs, Bonds, impact investments, banking products etc.)
  • A Superfund (Whole of Fund) (as distinct from specific superfund investment options, this is a certification for an entire fund who meets leading practice across their entire fund)

 

Certification criteria are different for each category, and are detailed in the Program Requirements Guide.

 

Overarching, these relate to:

  • A commitment to transparency and disclosure
  • For investment products, clearlydocumented responsible investment process (across any RI strategy) that differentiates the product from a mainstream equivalent product or fund
  • Undergoing an audit of the investment process
  • For Advisers, minimum legal and education requirements
  • A commitment to promoting responsible investment
  • For Superfunds (Whole of Funds) a commitment to active ownership practices such as engagement and proxy voting.

 

Key program documents:

1  Program Overview and Guidelines

2  Program Requirements by Category Guide

5  Concerns and Grievance Statement

7  Licensee Marketing Kit and Style Guide

8  Program Code of Conduct

9b Program Work Flow

10 Renewing superfund options by Certified Superfund Whole of Fund members

11 Program Expectations for ESG Integration

13 RIAA RI Certification Program Information Sheet

14 Verification Requirements & Certification of Underlying Fund Managers

15 Disclosure Requirements for Short-selling in executing Responsible Investment Strategies

16 Quality & Thresholds Test and Guidance

17 Responsible Investing Strategies Defined

22 Requirement for trading with Ethical Investment Trade Mark Symbol

Important information about the Responsible Investment Certification Program:

The Responsible Investment Certification Program is not designed for the purpose of providing personal financial product or investment advice. The Certification Program is designed to provide information solely on the responsible and ethical investment strategies that apply to each of the Certified investment products for information only.

The information provided by the Certification Program is not a recommendation to invest in any investment products. It does not take into account your particular investment objectives, financial situation or investment needs all of which should be considered prior to making an investment decision. You should seek professional financial advice before making any investment decision.