About Us Main

Our Process 

 

Process Flowcharts

 

Review details of the process for:

Alleged violations of the code and standards are investigated according to the CFA Institute Bylaws (PDF) and Rules of Procedure for Proceedings Related to Professional Conduct.

 

Rules of Procedure for investigations opened:

 

If the investigation determines a violation 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 are published in CFA Magazine or other CFA Institute publications. 

 

Oak tree  

Authorized Sanctions:

  • Private censure
  • Public censure
  • Suspension of membership for a specified period of time
  • Suspension of use of the CFA designation for a specified period of time
  • Summary suspension
  • Revocation of membership
  • Revocation of the CFA designation
  • Suspension (summary, permanent, or for a specified period of time) from further participation in the CFA Program