Membership Integrity Requirements
All new CISI members are required to demonstrate their commitment to ethical behaviour by completing an online integrity test, IntegrityMatters.
IntegrityMatters is an online integrity test designed to highlight dilemmas practitioners may face at work and provides a unique way to test your ability to make ethical decisions in the workplace.
Completing the IntegrityMatters test allows you to demonstrate tangible evidence of your commitment to integrity. You must complete the test within three months of joining, and all membership benefits will be accessible upon successful completion.
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policy
Chartered Wealth Manager Policy
This policy relates to the process for voting members to obtain and maintain Chartered Wealth Manager
status.
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policy
Individual Charter Policy
This policy relates to the process for Individual Chartered members to maintain their Chartered
status.
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policy
How to complain about a member
Professionals within the securities and investment professions owe important duties to their clients,
the
market, the professional sector and society at large. Where these duties are set out in law, or
in
regulation, the professional must always comply with the requirements in an open and transparent
manner.
Membership of the Chartered Institute for Securities & Investment (CISI) requires members to meet
the
standards set out within the Institute’s Principles. These Principles impose an obligation
on members
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.
and if
you consider that someone whom you know or believe to be a member of the CISI, has acted in a
professional
capacity that you consider to be inappropriate or unprofessional, then we invite you to advise
the Institute
using the attached complaint form.
Please note that a complaint to the Institute is not a substitute for using a firm’s
established
complaint handling procedure, nor can it cover complainants seeking financial redress, in which
case
complaints should be referred to the Financial Ombudsman Service.
CISI
member complaints
flowchart
CISI
member complaint
form*
* Completed forms may be sent via email to standards@cisi.org
or by
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
following members.
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
the UK
Regulator’s requirements.
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SPS Appeals Process
This policy relates to appeals in relation to the CISI’s SPS decisions, in accordance with the
UK
Regulator’s requirements.
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full policy