Professional Conduct Statement

 

What is it?

A signed statement disclosing any professional-related litigation or arbitration, customer complaints, and/or disciplinary proceedings. Review the standard PCS (PDF).

Who signs it?

All members (CFA charterholders, regular members, affiliate members)

 

When is the PCS submitted?

Members submit on an annual basis, with the payment of membership dues (see FAQs for more information)

 

How is the PCS submitted?

The PCS is available to sign online when you pay your dues, and it can also be printed to submit by mail or fax (PDF).

 

If I make a disclosure on the PCS, what happens?

The Professional Conduct Program will provide Notice of Inquiry which commences an investigation. The notice will request specific information about your disclosure.

 

What happens when a PCS is not submitted?

Failure to complete, sign, and submit the PCS can result in suspension of CFA Institute membership and/or the right to use the CFA designation.

 

If you have questions regarding whether an incident or matter requires disclosure on the PCS, please contact the Professional Conduct Program.