Disciplinary Review Committee
Purpose
The Disciplinary Review Committee (DRC) is responsible for enforcement of the Code of Ethics and Standards of Professional Conduct and the rules and regulations of the CFA Program in order to maintain the integrity of CFA Institute membership and the CFA designation. The DRC:
- Hears and decides disciplinary matters related to alleged violations of the Code and Standards and the rules and regulations of the CFA Program;
- Reviews and decides appeals and certain stipulated and summary disciplinary matters; and
- Reviews and recommends changes to the Rules of Procedure.
The Nominating Committee of the DRC consists of the current DRC Chair, the DRC past chair, one DRC member selected by the DRC, the CFA Institute staff executive to the DRC, and one regular member selected by the designated Board oversight committee. The Nominating Committee is responsible for recruiting charterholder members for the DRC, and strives for a fair representation of the differing areas of industry practice, experience, history of volunteer involvement, commitment to ethical standards, and geographic locations of CFA Institute members.
Nominations Process 2019 Open 10 January through 15 February
CFA Institute is seeking volunteers to serve on the Disciplinary Review Committee (DRC) beginning 1 September 2019.
Volunteer Qualifications: Members must be CFA Institute Members who have held the charter for at least three (3) years, with a minimum of five (5) years of experience in the industry.
Volunteer Commitment: Service on the DRC requires significant time commitment (about 300 hours), some of which will be during the work week. Members may be asked to serve on in-person hearing panels that require international travel.
Application Process: Interested applicants should submit applications, resumes, and letters of recommendation for review by the DRC Nominating Committee. The Nominating Committee will hold interviews with selected applicants in early April 2019. Please use this portal to complete an application. You will need to set up a different login, because the portal links to an external site from CFA Institute.
Please contact DRCVolunteers@cfainstitute.org with any questions.
(Application Deadline for Submission: 15 February 2019)
DRC members serve for a term of one year, renewable annually for a maximum of six years. Terms may be staggered to allow for turnover and continuity.
Chair
Member of CFA Society Boston
DRC Deputy Chair
Member of CFA Society Finland
DRC Executive Team
Member of CFA Society Singapore, The Hong Kong Society of Financial Analysts Ltd.
DRC Executive Team
Member of CFA Society United Kingdom
DRC Executive Team
Member of CFA Society France
DRC Executive Team
Member of CFA Society Singapore
Member of CFA Society Cyprus
Member of CFA Society Sweden
Member of CFA Society Calgary
Member of CFA Society New York
Member of CFA Society Sacramento
Managing Partner and Chief Investment Officer, MRA Associates
Member of CFA Society Phoenix
Nathan Erickson, CFA, is a managing partner and chief investment officer at MRA Associates, where his primary focus is to lead the firm’s research efforts. He also provides private wealth and investment management services to foundations, retirement plans, and high-net-worth clients and is a member of the firm’s Investment Policy Committee and Compliance Committee. Mr. Erickson has a diverse background in the investment industry, having worked in commercial real estate sales and lending, as well as in investment brokerage at Charles Schwab. He has also served as an equity analyst at Kaplan Funds Management and as a portfolio manager at Foothills Asset Management. Mr. Erickson is a CAIA charterholder and serves on the board of directors of CFA Society Phoenix and Altier Credit Union. He has served in various volunteer roles for CFA Institute and has been selected to serve on the CFA Institute Disciplinary Review Committee, which is responsible for the enforcement of the CFA Institute Code of Ethics and Standards of Professional Conduct. Mr. Erickson earned a bachelor of arts degree in psychology from Kenyon College and a master of commerce (finance) from the University of Sydney.
Member of CFA Society Colorado
Member of CFA Society Vancouver, CFA Society Toronto
Member of CFA Society Sydney
Member of The Hong Kong Society of Financial Analysts Ltd.
Member of CFA China
Member of CFA Society United Kingdom
Member of CFA Society Louisville
Member of CFA Society New York
Member of CFA Society Argentina
Member of CFA Society Detroit
Member of CFA Society East Africa
Member of CFA Society Jordan
Member of CFA Society Dallas/Ft. Worth
Member of CFA Society San Antonio
Member of CFA Society Bangladesh
Member of CFA Society Washington, DC
Member of CFA Society South Africa