The Professional Conduct Program

 

What We Do:

• Enforce the Code of Ethics and Standards of Professional Conduct and the rules and regulations of the CFA Program

• Monitor compliance with the code and standards through the Professional Conduct Statement and public complaints

• Investigate alleged violations

• Sanction members and candidates for violation

 

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 registration

• 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.

Take Action

Read about the Professional Conduct Statement
Learn about our ethics and standards
Submit a complaint
Review disciplinary procedures
Questions? Contact us