The Professional Conduct Program:
-
Enforces the Code of Ethics and Standards of Professional Conduct and the rules and regulations of the CFA Program
-
Monitors compliance with the code and standards through the Professional Conduct Statement and public complaints
-
Investigates alleged violations of the code and standards and the rules and regulations of the CFA Program in accordance with the Rules of Procedure for Proceedings Related to Professional Conduct
-
Rules of Procedure (PDF) for investigations opened prior to 21 May 2006
-
Rules of Procedure (PDF) for investigations opened after 21 May 2006
-
-
Sanctions members and candidates for violation of the code and standards and CFA Program rules and regulations in accordance with the Rules of Procedure and CFA Institute Bylaws (PDF)
How does this affect you?
-
If a candidate or member, you must comply with the code and standards
-
If a member, you must annually complete and sign a Professional Conduct Statement, disclosing any allegations of professional misconduct
-
If a candidate, you must submit a Professional Conduct Statement with your exam enrollment
-
If applying for membership and/or enrolling in the CFA Program, you are subject to stringent professional conduct admission criteria
-
If you have witnessed an alleged violation of the code and standards by a member or candidate, you may file a complaint through the online complaint center
Everyone should be aware that CFA Institute represents and abides by the highest ethical and professional standards, a commitment that enhances the CFA designation and its reputation. For more information on the ethics and standards, please visit the CFA Centre, the leader for all CFA Institute work on ethics, advocacy, and standards.
You can use these pages
to...
Learn more about the Professional Conduct
Statement
Submit a complaint
Review disciplinary
procedures
Contact the Professional
Conduct Program