Integrity
Integrity is the key to trust in the financial sector. Consumers, companies and regulators must be able to count on honest and honest (investment) professionals. DSI-certified professionals therefore commit to the DSI Code of Conduct, summarized in 10 core principles.
Certify as a professional with DSI
At DSI, you can certify as a professional in the financial sector, whether you work as an employee or as a self-employed person for a financial institution affiliated with DSI. As a professional, how do you determine which register applies to you? How can you change your certification? And what does the Continuing Professional Education program entail? We take you through the various components.
The answers to all your questions
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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.
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By certifying employees, operating the DSI Code of Conduct and enabling DSI disciplinary law, DSI helps organizations make integrity demonstrable and testable.
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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.
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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.
