DSI has recently published two disciplinary rulings. In one case, the DSI Disciplinary Committee upheld a complaint about a conflict of interest involving a Senior Investment Manager but did not impose a sanction. DSI has appealed this decision. In another case, a complaint against an investment advisor for not adhering to the investment policy was dismissed. Read the full article for more details.

DSI complaint on (apparent) conflict of interest upheld, other allegations dismissed

On August 27, 2024, the DSI Disciplinary Committee issued a ruling in a case against a Senior Investment Manager employed by an investment firm.

In its complaint, DSI argued that the certified professional had failed to comply with the internal investment policy of their employer. Additionally, DSI alleged that the respondent had provided investment services through their own company without an AFM license. Finally, DSI pointed out that the respondent had not properly separated their business and personal interests.

The Disciplinary Committee upheld DSI’s complaint regarding the conflict of interest but dismissed the other allegations. The committee decided not to impose a sanction on the certified professional.

DSI has filed an appeal with the DSI Appeals Committee against this ruling.

View the ruling

DSI complaint on non-compliance with investment policy dismissed

On August 27, 2024, the DSI Disciplinary Committee issued a ruling in a case against an investment advisor working as a tied agent for an investment firm. DSI argued in its complaint that the certified professional had failed to comply with the firm’s internal investment policy.

The Disciplinary Committee dismissed DSI’s complaint.

View the ruling

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Do you have an integrity-related question or want to report a possible violation of the DSI Code of Conduct? You can confidentially submit a report to DSI regarding integrity matters. This not only helps to address misconduct but also contributes to a stronger and more ethical financial sector. Reporting can also have a preventive effect.

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