Comply with rules

Comply with the rules that apply to your profession. The financial sector is regulated because the consequences for society can be significant when things go wrong. It is crucial that professionals strictly adhere to legislation 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.

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.

Real-life integrity dilemmas

What does the January 2025 settlement tell us about compliance with rules?

An investment specialist was asked by a client to execute a transaction. Within the organisation, there were internal indications that the transaction might involve market manipulation. Nevertheless, the specialist proceeded with the order without prior consultation with 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 carrying out the transaction, the certified professional acted in breach of the organisation’s internal regulations. As a result, an educational measure was imposed.

What does this mean for you as a DSI-certified professional?

Core Principle 5 requires compliance with applicable rules and legislation. This means that, as a professional, you must always remain alert to potential risks and never deviate from established regulations – even under pressure. Compliance is not solely the responsibility of the compliance department, but of everyone working in the financial sector.

“Comply with the rules. Adhering to regulations is essential for maintaining trust in financial markets.”

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Integrity Report to DSI

What if you, as a professional, notice an integrity issue?

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.