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

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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

Sandra Peters

Improving a Different Type of Disclosure: Reporting Corporate Board Diversity

23 May 2013

SEC commissioner and industry panel raises the question of whether existing U.S. disclosure rule on board diversity goes far enough. Read more

Source: AP Images

Volcker vs. Vickers (Part 2): Where Do Financial Reform Efforts Stand?

23 May 2013

In the second part of a month-long series exploring key systemic risk issues from the perspective of Paul Volcker and Sir John Vickers, we take a closer look at their views on progress in fixing regulatory gaps. Read more

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

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