CFANY Professional Ethics Statement

The CFANY Professional Ethics Statement & Code of Conduct must be reviewed and affirmed with the membership application and on each annual membership anniversary.


In the last two years, I have not been:

1. The subject of, a defendant in, or respondent in any investigation, civil litigation, arbitration, or other civil action or proceeding in which my professional conduct, in either a direct or supervisory capacity, was at issue.
2. Refused a bond by a surety company; or have a surety company paid out any funds on my coverage.
3. The subject of a written complaint regarding my professional conduct in either a direct or supervisory capacity.
4. Permanently or temporarily prevented from: 1) acting as a person required to be registered under any law or regulation (i.e., investment advisor, broker, dealer, etc.); 2) acting as an affiliated person or employee of any entity required to be registered under any law or regulation (i.e., investment company, bank, etc.); or 3) trading on any securities or contract market.
5. Found to have aided, abetted, counseled, commanded, induced, or procured the violation by any person or entity of any securities or commodities-related law or regulation or any rule promulgated thereunder.
6. Arrested, indicted, or convicted of 1) any felony or other crime punishable by more than one year in prison, or 2) a misdemeanor involving moral turpitude (lying, cheating, or other dishonest conduct) or any substantially equivalent crime in any court of law.
7. An owner or a part of a firm in which I was a principal that failed in a business, made a compromise with creditors, taken advantage of the Bankruptcy Act of Exemption Law, or pleaded the Statute of Limitations.
8. Required to defend myself in any litigation or are there any outstanding unsatisfied judgments against me.

Please download and read the Code of Conduct for Volunteers, Members, and Employees.

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