Verdicts of the DSI Ethics Committee and Appeals Committee
This page features past verdicts of the DSI Ethics Committee and Appeals Committee. The DSI Ethics Committee and Appeals Committee deal with ethics enforcement cases involving certified financial professionals and DSI.
The Certified Professionals and Candidate Certified Professionals are subject to the provisions of the DSI Disciplinary Regulations. Any immediate stakeholder may submit a report to DSI if they believe that a Certified Professional has acted in violation of the DSI Code of Conduct.
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Year
Afwijzing deelnameverzoek door DSI in beroep afgewezen
Afwijzing registratieverzoek beleggingsadviseur
Afwijzing registratieverzoek effectenhandelaar
Afwijzing registratieverzoek financieel adviseur