Act carefully
Integrity and diligence are the foundation of your work. Treat clients, your employer and other market participants with respect and competence. This promotes lasting relationships and reflects the standards of the financial industry and your DSI registration.
DSI core principles in practice
What can you learn from the January 2025 settlement?
An investment specialist received a request from a client to execute a transaction. There were signals within the organization that market manipulation may have occurred. Despite these signals, the specialist decided to execute the order without discussing this with compliance beforehand.
DSI concluded that the specialist did not thereby act in line with the DSI Code of Conduct. As a certified professional, he should have independently verified whether the order could be executed under these circumstances. By failing to do so and proceeding with the transaction anyway, he acted carelessly.
Be alert to signals and trade only when you are sure you can do so carefully.
What does this mean to you?
Acting with care requires more than professional knowledge alone. It means staying alert to signals, even when pressure is high or decisions seem to have been made elsewhere. Take time for critical reflection, make risks negotiable, and call in compliance when necessary. It is precisely by acting deliberately that you demonstrate professionalism and integrity.
DSI Core Principles
At DSI, ten core principles are central to the essence of our Code of Conduct. They offer financial professionals guidance on how to act with integrity on a daily basis and strengthen trust in the sector. Every DSI certified professional commits to these principles so that together we contribute to a transparent and honest financial sector.
