Ruling Disciplinary Committee | DSI 2022-001
Reprimand for careless handling of confidential information and conflict of interest.
On Feb. 21, 2023, the DSI Disciplinary Committee ruled in a case against a certified who was working as a Senior Relationship Manager Private Banking.
Disciplinary Committee ruling
The DSI complaint concerned the structurally careless handling of confidential customer and business data during and after employment with a bank. For several years, the certificant sent large amounts of confidential information from his business to his private email address and stored this data outside the bank’s secure environment. This occurred even after he was excused from work and later left employment. In addition, he continued to serve clients without coordinating with the bank while he oriented himself to a position with a competitor.
The Disciplinary Committee rules that an experienced senior professional can be expected to be aware of the risks of sending and storing confidential data outside a secure working environment. By doing so anyway, the certified has acted in violation of the DSI Code of Conduct. He also paid insufficient attention to the appearance of conflicts of interest and was insufficiently transparent towards his employer.
Although the Disciplinary Committee takes into account that the bank had not adequately publicized the internal information security policy and that the certified person had demonstrated insight into his actions, there was a serious violation of the standards of professionalism, diligence and integrity.
The complaint is upheld. The Disciplinary Committee imposes the measure of a reprimand and advises DSI to limit the public entry in the DSI register to six months.
