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#analyst-notes #code-of-ethics-and-standards-of-professional-conduct
An overview of Disciplinary Action follows:

  • Grounds for Discipline. Any act which violates the Code and Standards.

  • Investigation by Designated Officer (DO). The officer may conclude the inquiry with no disciplinary sanction, issue a cautionary letter, or continue proceedings to discipline the member or candidate. If the investigation determines that a violation occurred, a disciplinary sanction is recommended. The member or candidate may accept the recommended sanction or proceed to a hearing panel.

  • Hearing. If the member rejects the proposed sanction, a case against the member will be prepared and take place in front of a hearing panel of three or more members.
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Subject 1. CFA Institute Professional Conduct Program
The rules related to information-gathering and conviction follow a criminal justice system approach. The procedures require a careful investigation of the charges followed by a hearing, findings and appeal. <span>An overview follows: Grounds for Discipline. Any act which violates the Code and Standards. Investigation by Designated Officer (DO). The officer may conclude the inquiry with no disciplinary sanction, issue a cautionary letter, or continue proceedings to discipline the member or candidate. If the investigation determines that a violation occurred, a disciplinary sanction is recommended. The member or candidate may accept the recommended sanction or proceed to a hearing panel. Hearing. If the member rejects the proposed sanction, a case against the member will be prepared and take place in front of a hearing panel of three or more members. Authorized sanctions include suspension or revocation of membership/designation, private/public censure, and private reprimand.<span><body><html>


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