Comply with rules
Comply with rules governing your profession. The financial industry is regulated because the consequences to society can be dire when things go wrong. It is crucial that professionals strictly adhere to laws and internal company policies. This contributes to the stability of and trust in the financial markets. This also applies to compliance professionals, who are responsible for complying with rules and regulations within their area of responsibility.
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 executed the order without discussing it in advance with compliance.
DSI concluded that in doing so, the specialist did not act in line with the DSI Code of Conduct and the organization’s internal regulations. As a certified professional, he should have independently verified with the compliance officer whether the order could be executed under these circumstances. By deviating from this, he acted in violation of the applicable rules. This led to an educational measure.
Comply with rules, even when the pressure is high or the situation seems complex.
What does this mean to you?
Compliance with rules is not a formality, but an essential part of professional conduct. Be alert to risks and never deviate from laws, regulations or internal rules. In doubt? Engage compliance. The responsibility for compliance lies with everyone in the financial industry and starts with you.
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.
