Ethical conduct in the financial sector
Integrity is the cornerstone of trust in the financial sector. Consumers, businesses, and regulators must be able to rely on honest and ethical (investment) professionals. That’s why DSI-certified professionals commit to the DSI Code of Conduct, which is built around ten core principles. Discover what these principles mean, how to apply them in practice, and how DSI promotes dialogue on ethical behaviour.
Take responsibility for your own behavior and that of your environment
Put the interests of the customer first.
Act carefully and with integrity.
Promote that (also) others adhere to the Code of Conduct.
Comply with the rules that apply to your profession.
Handle confidential information carefully.
Avoid conflicts of interest.
Act transparently and openly.
Provide careful and professional advice to your customer.
Honesty strengthens trust and keeps the market reliable.
Françoise Rost van Tonningen Chair of the DSI Integrity Advisory Committee
George Möller Founder of Stichting DSI
Jan Willem Nieuwenhuys Co-founder and Director Fair Capital Partners
Ethical dilemmas are best addressed early on within your own organisation. Open dialogue helps ensure that decisions are made carefully and can be clearly explained. Prevention is better than cure — integrity should be a regular topic of discussion within teams and at the board level in financial institutions.
However, if a situation goes beyond an internal dilemma and may involve a breach of integrity, financial professionals can report it to DSI. This is in line with the DSI Code of Conduct and may result in disciplinary proceedings.
Use the buttons below to learn more about submitting an integrity report, the DSI Code of Conduct, and the DSI disciplinary procedures.
If you have any questions about our core principles or the DSI Code of Conduct, or if you would like to share an ethical dilemma from practice, we’d be happy to discuss it with you. We’re also here if you want to learn more about DSI Disciplinary Procedures, past cases, or practical examples.
Feel free to contact us via the contact form or call us at +31 20 620 1274.