Membership Integrity Requirements
All new CISI members are required to demonstrate their commitment to ethical behaviour by completing
online integrity test, IntegrityMatters. This
members to demonstrate tangible evidence of their commitment to integrity. IntegrityMatters is
examination but a test taken as part of an elearning tool.
Chartered Wealth Manager Policy
This policy relates to the process for voting members to obtain and maintain Chartered Wealth Manager
Individual Charter Policy
This policy relates to the process for Individual Chartered members to maintain their Chartered
How to complain about a member
Professionals within the securities and investment professions owe important duties to their clients,
market, the professional sector and society at large. Where these duties are set out in law, or
regulation, the professional must always comply with the requirements in an open and transparent
Membership of the Chartered Institute for Securities & Investment (CISI) requires members to meet
standards set out within the Institute’s Principles. These Principles impose an obligation
to act in a way beyond mere compliance and to support the underlying values of the Institute.
Material breach of the code of conduct would be incompatible with continuing membership of the CISI.
you consider that someone whom you know or believe to be a member of the CISI, has acted in a
capacity that you consider to be inappropriate or unprofessional, then we invite you to advise
using the attached complaint form.
Please note that a complaint to the Institute is not a substitute for using a firm’s
complaint handling procedure, nor can it cover complainants seeking financial redress, in which
complaints should be referred to the Financial Ombudsman Service.
* Completed forms may be sent via email to firstname.lastname@example.org
mail to the CISI for the attention of the head of professional standards.
CISI Disciplinary Process
The CISI has an established disciplinary process to consider infractions by members of its membership
regulations and Code of Conduct. Disciplinary action has recently been taken against the
Disciplinary action was taken against the following:
Nicholas Lanzl MCSI
11th July 2019
Following notification that Mr Lanzl had been subject to disciplinary action by his employer, he was
invited to appear before a Disciplinary Panel. The Panel, having considered the matter and the
member’s submissions, determined that Mr Lanzl was in breach of the CISI Membership Regulations
and CISI Code of Conduct, and that he should receive a reprimand and be required to complete an
additional three hours of CPD focused on data protection within a 12 month period.
SPS Disciplinary Process
This policy relates to discipline in relation to the CISI’s SPS decisions, in accordance with
SPS Appeals Process
This policy relates to appeals in relation to the CISI’s SPS decisions, in accordance with the