Sanctions and Statistics
| Industry Violations | |
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Industry-related sanctions are issued for professional conduct in violation of the Code and Standards that impacts clients, potential clients, securities markets, employers, other members, and the public as a whole. Both candidates and members are subject to investigation.
View industry-related statistics (PDF)
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| CFA Exam-Related Violations | |
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Exam-related sanctions are issued for violating the rules and regulations of CFA Program.
Learn more about exam misconduct and rules violations.
View exam-related statistics (PDF)
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