We’re using cookies, but you can turn them off in Privacy Settings. If you use the site without changing settings, you are agreeing to our use of cookies. Learn more in our Privacy Policy.

×

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 DRC 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.

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.

Nominations Process: The nominations process for this year is closed. If you wish to be notified of the opportunity next fiscal year, please contact DRCVolunteers@cfainstitute.org.
 
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.

Pamela G Yang CFA, CPA, CGMA

DRC Chair

Member of CFA Society Boston

Govindarajan Varadharajan CFA

DRC Deputy Chair

Member of CFA Society United Kingdom

Barbara L. Bauer CFA, CFE

DRC Executive Team

Member of CFA Society Calgary

Nathan Erickson, CFA

Nathan Erickson CFA

DRC Executive Team

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 is also a member of the firm’s investment policy, compliance, executive, and management committees. Mr. Erickson has a diverse background in the investment industry, having worked in commercial real estate, investment brokerage, and portfolio management. He serves on the CFA Institute Disciplinary Review Committee and previously served as president of CFA Society Phoenix and as a board member of Altier Credit Union. Mr. Erickson is a CAIA Charterholder, and he earned a Bachelor of Arts degree in psychology from Kenyon College and a master of commerce (finance) from the University of Sydney.

Jan M. Richards CFA

DRC Executive Team

Westfall O. Richard, Jr. CFA, CPA, CFE

DRC Executive Team

Member of CFA Society Washington, DC

Darshan Abeysuriya CFA

Member of CFA Society Sri Lanka

Theodore Alepis CFA

Member of CFA Society Cyprus, CFA Society Greece

Fabrizio Basile CFA

Member of CFA Society Switzerland

Mark C. Biderman CFA

Member of CFA Society New York

Henrik Bjerklin CFA

Member of CFA Society Sweden

Damian Bridge CFA

Member of CFA Society Sydney

James Campbell CFA

Member of CFA Society Sacramento

Ismail Erdem, CFA

Ismail Erdem CFA

Member of CFA Society Istanbul

Ismail Erdem, CFA, is chief investment officer and founding partner of Taaleri Wealth Management, which is a subsidiary of Taaleritehdas, a Finnish wealth management and investment firm. Erdem leads the wealth management team in Turkey. He also manages the group’s equity funds that invest in Turkey and Middle East and North Africa (MENA) regions.

Erdem began his career in 1995 as an equity analyst. Prior to joining Taaleri, he worked as a research analyst at ING Barings and managed the investment research teams of leading Turkish brokers including Finansinvest and TEB/BNP Paribas Investments.

Erdem is a founding board member of CFA Society Istanbul and has served on the society’s board in various capacities including two terms as president. He led the effort to hold the first Investment Research Challenge in Turkey and contributed to several IRCs as mentor and judge.

Erdem holds bachelor’s degrees in electrical engineering and physics from Bogazici University, Turkey. He completed his MBA in finance and corporate accounting at the William E. Simon Graduate School of Business, University of Rochester. He also conducted PhD studies in management science and systems at McMaster University, Canada.

Brian Goodstadt CFA

Member of CFA Society Colorado

Janine Guenther CFA, CMT

Member of CFA Society Vancouver, CFA Society Toronto

Brindha Gunasingham PhD, CFA

Member of CFA Society Sydney

Shuk Yee (Samantha) Ho CFA, SFHKSI

Member of CFA Society Hong Kong

Junhe (Michael) Huang CFA

Member of CFA China

Mark K. Lauber CFA

Member of CFA Society United Kingdom

Kher Sheng Lee CFA, CAIA

Member of CFA Society Singapore, CFA Society Hong Kong

Pablo Matsumoto CFA

Member of CFA Society Argentina

Philippe Maupas CFA, CIPM, CAIA

Member of CFA Society France

William Howard Morris CFA, CPA

Member of CFA Society Detroit

Jennifer Norris CFA

Member of CFA Society Dallas/Ft. Worth

Petri Serenius CFA

Member of CFA Society Finland

Tom L. Stringfellow CFA, CFP, CPA, CIC

Member of CFA Society San Antonio

Stephen Thompson CFA

Member of CFA Society Edmonton

Governance

Interested in Volunteering?