Professional Conduct Program A commitment to professional ethics is at the core of CFA Institute
We enforce the Code of Ethics and Standards of Professional Conduct and the rules and regulations of the CFA Program.
We monitor compliance through:
CFA Institute members and CFA Program candidates are subject to professional conduct enrollment/admission criteria and must comply with the Code and Standards. Additionally:
Members must annually complete and sign a Professional Conduct Statement, disclosing any allegations of professional misconduct.
Candidates must submit a Candidate Professional Conduct Statement as part of each exam registration.
Learn about our process for investigating alleged violations or view statistics and details on previously issued sanctions.
Questions? Contact us