Codes

Question 1

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What are the CISI Code of Conduct Principles

How many are there?

Answer 1

1. • Act honestly and fairly
2. • Act with integrity
3. • Observe applicable law, regulations and professional conduct standards (when carrying out financial service activities)
4. • Observe appropriate standards of market integrity, good practice and conduct (when dealing)
5. • Be alert to and manage fairly and effectively any conflict of interest
6. • Attain and actively manage an appropriate level of professional competence and commit to continuing learning
7. • Decline to act in any matter if not competent (unless access to advice)
8. • Strive to uphold the highest personal and professional standards

Question 2

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CISI Code of Conduct - If required to act in a manner contrary to the principles - Explain what to do?

How many are there?

Answer 2

1. • Discuss concerns with line manager
2. • Seek advice from firm’s internal compliance department
3. • Approach firm’s NEDs or Audit Committee
4. • (As last resort) contact the CISI for advice