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.
