The Professional Conduct Statement Learn about the Professional Conduct Statement and how to submit yours

CFA Institute expects members and candidates to follow our Code of Ethics and Standards of Professional Conduct ("Code & 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.

What Is the Professional Conduct Statement?

The form is based on the CFA Institute Code & Standards. We expect all members and candidates to follow these codes and standards in order to protect the integrity of the CFA Programs. On the form, members and candidates disclose any investigations, litigation, arbitration, complaints, disciplinary proceedings, or other matters relating to professional conduct.

When Should I Submit the Form?

Members should submit a Professional Conduct Statement form when they first join CFA Institute, and then annually as part of the online membership renewal process. Candidates should submit their form each time they register for an exam.

If you do not submit a form at the appropriate time, your membership will be suspended, including your right to use the CFA and/or CIPM designation. If you are a candidate, you will be prohibited from the CFA and/or CIPM Program.

View a sample Professional Conduct Statement (PDF)
Renew your membership and submit the form online

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 & Standards, which is grounds for disciplinary action.

Not sure whether something requires disclosure? Contact the Professional Conduct Program.