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Certificate in ESG Investing Misconduct and Rules Violations

If you engage in any misconduct during the exam, CFA Institute may investigate your conduct which may lead to the voiding of your exam results and suspension or termination of your candidacy for the Certificate in ESG Investing.

Misconduct is any activity or conduct that compromises or attempts to compromise the reputation, integrity, validity, or security of the Certificate. This includes conduct occurring before, during, and after the administration of the exam, and includes a violation of any testing rule or policy.

Misconduct includes, but is not limited to:

  • Creating a disturbance during the exam;
  • Giving or receiving assistance on the exam including looking at another candidate’s exam and/or exam answers; attempting to communicate with fellow candidates or other persons during the exam or on unscheduled breaks, and/or using books, papers, or other study aids during the exam;
  • Opening, working on, or reading the exam during a time not authorized by the testing personnel;
  • Removing exam materials or notes from the testing room;
  • Taking part in an act of impersonation or other forms of cheating;
  • Failing to follow the directions of testing personnel before, during, and after the exam;
  • Using mobile phones, cameras, headsets, computers, tablets, wearable technology such as fitness tracking devices, smart watches, or any other remote communication or photographic devices, during the exam;
  • Using scratch paper before, during, or after the exam or writing on the erasable note board before the exam;
  • Copying, reselling, distributing or misusing any Certificate offer code(s) or any other Certificate discount;
  • Misrepresenting information on enrollment or registration forms, or requests for accommodation or scholarship;
  • Using unauthorized Certificate questions, with or without answers, when preparing for the exam;
  • Asking for or using unauthorized Certificate preparatory materials that you know or have a reasonable basis to know violate CFA Institute copyright;
  • Sharing or requesting that others share with you, Certificate content, verbally or in writing, after the administration of the exam;
  • Attempting to obtain and/or obtaining your exam results prior to the official published exam results release date;
  • Altering exam results issued by CFA Institute and/or misrepresenting pass/fail results;
  • Failing to comply with any CFA Institute testing policy or exam rule;
  • Engaging in any other conduct that could be considered by CFA Institute, in its sole discretion, to compromise or attempt to compromise the reputation, integrity, validity, or security of the Certificate or CFA Institute.

The investigation and sanctioning of ESG candidate misconduct is handled by CFA Institute Exam Security. A candidate who has received a sanction may appeal the decision by providing a written personal statement which describes the grounds for the appeal and any supporting evidence to [email protected] for consideration by the ESG Misconduct Appeals Committee. Appeals must be received within FIFTEEN (15) calendar days of the date of the original notice of sanction.

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