DSI Core principle 3
Act carefully and with integrity. Integrity and diligence are the foundation of your work. Treat customers, your employer, and other market parties with respect and expertise. This promotes sustainable relationships and reflects the standards of the financial sector and your DSI registration.
At DSI, ten core principles are central to our Code of Conduct. They provide financial professionals with guidance to act with integrity every day and strengthen trust in the sector. Every DSI-certified individual commits to these principles, helping us contribute to a transparent and ethical financial sector. Discover all 10 core principles of DSI here.
Learn about real-life integrity dilemmas linked to this core principle
Discover articles 7.1.2, 7.1.3 and 7.2.1 from the DSI Code of Conduct that are related to this core principle.
What if you, as a professional, notice an integrity issue?
An investment specialist was asked by a client to execute a transaction. Within the organisation, there were internal signals suggesting possible market manipulation. Despite this, the specialist executed the order without first consulting the compliance officer.
DSI concluded that this conduct was not in line with the DSI Code of Ethics. As a certified professional, he should have independently verified with the compliance officer whether the order could be executed under these circumstances. By proceeding with the transaction, the certified professional acted without due care.
Core Principle 3 requires not only that you demonstrate expertise, but that you carry out your work with care and respect for all parties involved. This means staying alert to warning signs – even under pressure or when decisions appear to have been made elsewhere. Acting with care demands conscious decision-making: taking time to reflect critically, discussing potential risks, and – when needed – involving compliance.
“Act with care. Especially in situations where others may be moving too quickly”
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Ethical dilemmas are ideally discussed early within your own organization, so you can come to a careful and justifiable decision together. Prevention is better than cure, and integrity should be a constant topic of discussion within teams and the management of organizations in the financial sector.
However, when a situation goes beyond an internal dilemma and potentially involves an integrity violation, financial professionals can report it to DSI. This is based on the DSI Code of Conduct and may lead to disciplinary proceedings. Discover everything about making an integrity report, the DSI Code of Conduct and DSI Ethics Enforcement via the buttons below.