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.
When Do I Submit the Form?
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.
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, you will receive a Notice of Investigation requesting information about that issue. 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?