Professional Conduct

All members of CFA Society Spain agree to abide by and adhere to the following CFA Institute Code of Ethics and Standards of Professional Conduct.

The Code and Standards describe best practices relating to:

  • professionalism
  • the integrity of capital markets
  • duties to clients
  • duties to employers
  • investment analysis
  • recommendations and actions
  • conflicts of interest

The Code and Standards provide guidance to members allowing them to identify and resolve ethical conflicts so that the integrity of the profession is maintained. CFA Institute and CFA Society Spain enforce the Code and Standards through self-disclosure, public complaints and publicly available information.

Self-reporting

An important element of ethical conduct is self-disclosure of potential violations. Members are encouraged to self-report incidents to CFA Institute as soon as they occur, in order to permit rapid, orderly resolution. If you are a CFA Institute member or CFA® Program candidate, please email CFA Institute on: [email protected]

Reporting others

CFA Institute reviews possible violations by members brought to its attention and will open an investigation if an initial review of the complaint shows sufficient cause. All investigations are undertaken confidentially.

Contact us

CFA Society Spain and CFA Institute are pleased to provide members with practical guidance on ethical issues, though advice should only be sought if it is unavailable from a line manager, compliance manager or other senior manager or director. To contact CFA Institute’s Professional Conduct team for guidance, please email: [email protected].