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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.

Pamela G Yang CFA, CPA, CGMA

Chair

Member of CFA Society Boston

Ville Toivakainen CFA

DRC Deputy Chair

Member of CFA Society Finland

Kher Sheng Lee CFA, CAIA

DRC Executive Team

Member of CFA Society Singapore, The Hong Kong Society of Financial Analysts Ltd.

Govindarajan Varadharajan CFA

DRC Executive Team

Member of CFA Society United Kingdom

Philippe Maupas CFA, CIPM, CAIA

DRC Executive Team

Member of CFA Society France

Jan Richards CFA

DRC Executive Team

Member of CFA Society Singapore

Theodore Alepis CFA

Member of CFA Society Cyprus

Henrik Bjerklin CFA

Member of CFA Society Sweden

Barbara Bauer CFA, CFE

Member of CFA Society Calgary

Mark Biderman CFA

Member of CFA Society New York

James Campbell CFA

Member of CFA Society Sacramento

Nathan Erickson CFA

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.

Brian Goodstadt CFA

Member of CFA Society Colorado

Janine Guenther CFA, CMT

Member of CFA Society Vancouver, CFA Society Toronto

Brindha Gunasingham CFA

Member of CFA Society Sydney

Samantha S Y Ho CFA, SFHKSI

Member of The Hong Kong Society of Financial Analysts Ltd.

Junhe Michael Huang CFA

Member of CFA China

Mark Lauber CFA

Member of CFA Society United Kingdom

Todd P Lowe CFA

Member of CFA Society Louisville

Ronald Mandle CFA

Member of CFA Society New York

Pablo Matsumoto CFA

Member of CFA Society Argentina

William Morris CFA, CPA, PFS, CGMA

Member of CFA Society Detroit

Patrick C Mutimba CFA

Member of CFA Society East Africa

Munir Nino CFA, MBA

Member of CFA Society Jordan

Jennifer Norris CFA

Member of CFA Society Dallas/Ft. Worth

Tom Stringfellow CFA, CPA, CFP, CIC

Member of CFA Society San Antonio

Wendy J Werner CFA

Member of CFA Society Bangladesh

Westfall Richard, Jr. CFA, CPA, CFE

Member of CFA Society Washington, DC

Robinn Yale-Kearney CFA, CIPM

Member of CFA Society South Africa

Governance

See all Committees & Councils

Interested in Volunteering?

View current volunteer opportunities

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