CFA Institute upholds the Code of Ethics and Standards of Professional Conduct, exam rules and regulations, and Bylaws to protect the integrity of its membership, designations, and examination programs. The Professional Conduct Program administers the disciplinary process for CFA Institute.
The Professional Conduct Statement
Every member must complete a Professional Conduct Statement annually to disclose any potential violations of the Code and Standards. Candidates make similar disclosures as part of the registration and enrollment process.
Learn more about the Professional Conduct Statement
The Disciplinary Process
Our process includes monitoring compliance, investigating allegations, conducting disciplinary proceedings, and imposing sanctions if necessary.
Learn about how the Professional Conduct Program handles allegations
Sanctions and Statistics
We track and report disciplinary information as a service to our stakeholders.
Learn about different types of sanctions and view statistics on reported allegations
Submit a Complaint
You can help to protect the integrity of CFA Institute membership and designations by reporting conduct that does not meet our standards.
Find out how to submit a complaint