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Professional Conduct Statement

We expect all members and candidates to follow our Code of Ethics and Standards of Professional Conduct (Code and Standards). CFA charterholders, regular members, affiliate members, and candidates in the CFA and CIPM Programs must complete a Professional Conduct Statement form to attest that they are in compliance with this requirement.

On the Professional Conduct Statement form, members and candidates disclose any investigations, litigation, arbitration, complaints, disciplinary proceedings, or other matters relating to professional conduct.

Professional Conduct Statement FAQs (PDF)

When Do I Submit My Professional Conduct Statement?

Members submit a Professional Conduct Statement form when they first join CFA Institute and then annually as part of the online membership renewal process. If a member does not submit a Professional Conduct Statement at the appropriate time, membership will be suspended, including the right to use the CFA and/or CIPM designation. 

Join or Renew your membership and submit your Professional Conduct Statement

Candidates submit their Professional Conduct Statement form each time they register for an exam. If a candidate does not submit a Professional Conduct Statement at the appropriate time, the candidate will be prohibited from the CFA and/or CIPM Program.

What Happens When I Disclose an Issue?

When you disclose a professional conduct issue on your form, your answer will be reviewed by our Professional Conduct staff, and you may be asked to provide additional information. If you have an issue and do not disclose it, or misrepresent information on the form, you will be in violation of the Code and Standards, which is grounds for disciplinary action.

Not sure whether something requires disclosure?

Please contact us with your questions

Can I Preview My Professional Conduct Statement? 

As a member of CFA Institute, you will be required to answer the following questions. If you answer any question with “yes,” you will be asked to disclose the matter.

  1. In the last two years, have you been the subject of any written complaint or accusation regarding your professional conduct or activities?
  2. In the last two years, have you been the subject of any investigation (internal or external) in which your professional conduct or activities were questioned or at issue?
  3. In the last two years, have you been the subject of, or a defendant or respondent in, any litigation, arbitration, or other action or proceeding in which your professional conduct or activities were questioned or at issue?
  4. In the last two years, have you been reprimanded, censured, restricted, suspended, barred, enjoined, or otherwise sanctioned by any regulator, professional organization, government agency, or court because of your professional conduct or activities?
  5. In the last two years, have you been accused of, been convicted of, or pleaded guilty to, any crime relating to your professional conduct or activities?
  6. In the last two years, have you been accused of, been convicted of, or pleaded guilty to, any crime (regardless of whether it involved your professional conduct or activities) that could have resulted in a sentence of more than one year in prison?