CFA Institute takes its self-imposed standards of conduct seriously. Members are required to adhere to the highest standards of professional conduct by pledging to uphold the CFA Institute Code of Ethics and Standards of Professional Conduct. Violations of these agreements are taken seriously and can result in suspension of an individual’s Charter.
Alleged violations of the code and standards are investigated according to the CFA Institute Bylaws and Rules of Procedure for Professional Conduct
If an investigation determines a violation has occurred, a disciplinary sanction is recommended. The member and/or candidate may accept the recommended sanction or proceed to a hearing panel.
Notice of disciplinary sanctions is published in CFA Magazine or other CFA Institute publications.
More information on the Professional Conduct Program.