Sanctions & StatisticsCandidates and members are subject to investigationIndustry Violations
Industry-related sanctions are issued for professional conduct in violation of the Code and Standards that impacts clients, potential clients, securities markets, employers, other members, and the public as a whole.
CFA Exam-Related Violations
Exam-related sanctions are issued for violating the rules and regulations of CFA Program.
Our Process
Learn about how we investigate alleged violations.
Notify Us
If you have witnessed an alleged violation of the code and standards by a member or candidate, use the online complaint center.