On the DSI website you will find an overview of rulings by the DSI Disciplinary Committee and the Appeals Committee. These rulings are real practical examples of how the DSI Code of Conduct and the DSI Core Principles for Integrity and Professionalism are applied within the financial and investment sector. They show how integrity dilemmas are assessed in daily professional practice and what consequences this can have for financial professionals.

The rulings page includes examples of cases such as:

• Reprimands for careless handling of confidential information and appearance of conflict of interest.
• Cases reconsidered by the Appeals Committee, such as conflict of interest and outside activities issues, linked to the DSI Code of Conduct and core principles.
• Historical rulings surrounding advice in unregulated products, insider trading and conduct of business violations.

These statements will help you understand what DSI understands by acting with integrity and professional competence and how it is weighed in practice.

Want to view the full collection of sayings and get inspired by actual examples? Then go to the statements page via the link below this FAQ.

All DSI (candidate) certified professionals are subject to DSI Disciplinary Law. By certification they agree to the DSI Code of Conduct and the supervision of Disciplinary Law. This applies to professionals who act, advise or inform on investments, as well as to compliance and AML professionals at a DSI participating employer.

Independent contractors are also covered by disciplinary law, provided they are DSI-certified and work for at least one DSI member.

If a professional does not comply with the DSI Code of Conduct, you can report this to DSI. An internal prosecutor will then see if the complaint can go to the independent Disciplinary Committee.

If the complaint is upheld, the Disciplinary Committee can impose a sanction, such as a warning, a fine of up to 25,000 euros, temporary suspension or even revocation of certification. All decisions are posted in the DSI Public Register. A decision can be appealed to the Appeals Committee.

DSI Disciplinary Law is a form of justice in which the independent Disciplinary Committee assesses whether a certified professional complies with the rules of conduct set out in the DSI Code of Conduct.

Disciplinary law works preventively: a conviction can affect your career and shows that standards of conduct are serious. In addition, DSI offers many practical examples of integrity dilemmas and the Disciplinary Committee publishes its rulings so that everyone can learn from practice.