Your professional opinion helps the industry move forward
In your work, you make decisions every day about what constitutes careful and ethical conduct. Sometimes, a colleague’s or manager’s behavior raises questions. For example, when confidential information is shared, you’re asked to push the boundaries, or a commercial interest seems to take precedence over the customer’s best interests. Are you unsure whether you should take action? You’re not alone. And you don’t have to decide this on your own.
Why Your Signal Matters
Anyone with DSI certification is accountable for his or her actions. This only works if behavior that raises questions can actually be assessed by DSI. Often, it is colleagues who are the first to notice.
You don’t have to be certain that a line has been crossed. “Always be open to discussion. If you’re unsure about a matter or whether or not you want to report it, you can always consult with DSI,” says Mark van der Lecq, Lead Legal at DSI. That way, you can first learn more about the process and what filing a report entails.
“You have the benefits of that registration, but you also have to be accountable whenever something happens that calls your integrity into question. That’s part of the registration process.”
Report Safely
We understand that filing a report can be nerve-wracking, especially when it involves a colleague or supervisor. Since its founding, DSI has received hundreds of reports regarding integrity issues. As a result, we have developed a meticulous process and handle all information with the utmost care.
Furthermore, a report does not automatically lead to a ruling. DSI first investigates what happened and the context. The professional involved is given the opportunity to respond, and the employer is also heard. You report the issue, but you are not a party to the proceedings afterward. Ultimately, an independent Disciplinary Committee determines whether it is necessary to impose a sanction.
How it benefits the entire industry
A report helps more than just that one case. DSI publishes anonymized rulings to clarify where the boundaries lie. Take, for example, an experienced investment professional who emailed clients from both his work email address and his own company’s email address. As a result, it was unclear to clients in what capacity he was acting. A small, everyday choice, with a clear lesson for anyone who does the same.
This is how Ethics Enforcement keeps the standards alive. “As a professional, you can see: What does a conflict of interest mean in practice, how does it arise, and what can you learn from it? What steps can you take to prevent it?” says Van der Lecq. So it’s not just about reacting to what goes wrong, but also about recognizing early on when careful action is required.
“What we’d most like to see is for people to take responsibility for their own behavior and be able to reflect on it critically.”
Not sure? Contact us
An industry with integrity requires professionals who take warning signs seriously, even when it’s not easy. That’s how you maintain high standards and help the industry move forward.
Would you like to learn more about DSI Ethics Enforcement and the lessons learned from previous cases? Then visit the DSI Ethics Enforcement page. Would you like to file a report? Go directly to “File an Integrity Report.”
