Ethics & Standards

Kerstin Dodel, CFA

Commitment to professional ethics is at the core of what we do. We promote high ethical standards and investor protection through professional codes of conduct, guidance, and outreach.

Learn more about our standards and commitment to financial market integrity.

Policy Positions & Research

The place to find:

Codes, Standards & Guidelines

We set and maintain global standards and professional codes of conduct for the investment profession. Browse the Codes.

Professional Conduct Program

To hold our members and candidates to the highest ethical standards, the Professional Conduct Program investigates allegations of ethical or professional misconduct that may violate the Code of Ethics and Standards of Professional Conduct. Learn more.



From the Market Integrity Insights Blog

CFTC Chair Gary Gensler

Derivatives Reform Three Years after Dodd-Frank: One Step Forward, Two Steps Back

21 May 2013

After months of delay, U.S. derivatives reform finally moved from back-burner status last week, when the Commodity Futures Trading Commission (CFTC) approved regulations aimed at forcing derivatives trading — and depending on the source, either a major culprit of or contributor to the financial crisis — out of the shadows. This means that many types of previously unregulated derivatives will now have to trade on open platforms. Read more

Challenges and Opportunities for Arab Securities Regulators (Video)

Jamie Underwood 20 May 2013

Jalil Tarif, secretary general at the Union for Arab Securities Authority, explains the challenges and opportunities facing securities regulators in Arab countries. Read more

Financial report

Financial Reporting Disclosure Reform: Need for Investor Input

16 May 2013

Currently there are initiatives underway to create an overarching framework to improve financial statement disclosures. The “disclosure framework” is intended to help enable companies communicate more effectively with investors, eliminate redundancy, and move away from what some assert has become a compliance exercise. Read more

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