Disciplinary committee

The Disciplinary Committee is responsible for the application of CFA Institute’s Code of Ethics and Standards of Professional Conduct across CFA UK’s local members (companions and IMC members). All CFA UK members that are also members of CFA Institute are covered by CFA Institute’s professional conduct structures and regulations.

Joe Biernat, CFA
Chief Investment Officer of Permian Global, Disciplinary Committee Chair

Main responsibilities

To recommend appropriate policies and set processes to enable CFA UK to supervise local member adherence to the code and standards
To review cases brought to the committee’s attention in order to determine whether or not an investigation is required
To appoint individuals to investigate cases as required
To consider material relating to investigations, to determine a finding and to apply sanctions as appropriate
To request regular members to hear appeals as required
To report to CFA UK’s Board (and as required to regulatory authorities) on professional conduct investigations relating to local members of CFA UK

The Disciplinary Committee consists of three regular members of the society; two members to be drawn from past and/or present Board members.

DRC members serve two year terms. No member should serve more than three two-year terms. One member should be a serving Board member.

Click here to download the rules governing CFA UK's disciplinary process.

Disciplinary committee

Main responsibilities

CFA UK Committees