Protecting the Integrity of the Designation and Your Membership Dorothy Kelly, CFA Director, Training & Outreach Professional Conduct Program CFA Institute.

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Presentation transcript:

Protecting the Integrity of the Designation and Your Membership Dorothy Kelly, CFA Director, Training & Outreach Professional Conduct Program CFA Institute

John D. Rogers, CFA Chief Executive Officer, CFA Institute 2009 Annual Report Through the CFA Institute Professional Conduct Program, we continue to promote and protect the integrity and reputation of our membership, the CFA designation, and the CFA Program. Responsibility Protecting the Integrity of the Designation and Your Membership 22/3/2012

Disciplinary Matters <1% of Membership INDUSTRY CASES OPEN BY YEAR % of CFA Institute Membership Represented by Cases Opened Less Than 1% Protecting the Integrity of the Designation and Your Membership 32/3/2012

Exam Incidents by Exam Administration Protecting the Integrity of the Designation and Your Membership 42/3/2012

Greater Transparency in Disciplinary Matters Protecting the Integrity of the Designation and Your Membership 52/3/2012

Industry Cases Opened by Year Protecting the Integrity of the Designation and Your Membership 62/3/2012

PCP Liaison Protecting the Integrity of the Designation and Your Membership 72/3/2012

PCP Liaison: Your Society’s Night Watchman Protecting the Integrity of the Designation and Your Membership 82/3/2012

The Lonely and Bored Night Watchman The PCP Liaison can also serve as an ethics resource: ■ Leading ethics education ■ Answering general questions about ethics, professional conduct, and disciplinary process ■ Promoting Code & Standards/AMC/others Protecting the Integrity of the Designation and Your Membership 92/3/2012

PCP Liaison: Flexible Volunteer Position ■ Appeals to time- constrained members ■ Encourages member engagement ■ Provides opportunities for further development ■ Promotes member retention Protecting the Integrity of the Designation and Your Membership 102/3/2012

PCP Liaison: Key Ingredients ■ Commitment to highest standards of ethical conduct ■ Knowledge of Code & Standards ■ Access to public information ■ Discretion Protecting the Integrity of the Designation and Your Membership 112/3/2012

Questions? Protecting the Integrity of the Designation and Your Membership 12 2/3/2012