Tall Order: A Behind-the-Scenes Look at Professional Conduct Enforcement

Abstract

This article addresses the following key points: The primary role of AIMR's Disciplinary Review Committee is to oversee the enforcement of the AIMR Code of Ethics and Standards of Professional Conduct. AIMR has professional conduct jurisdiction over AIMR members, CFA charterholders, and candidates in the CFA Program. Disciplinary statistics are being published as part of the AIMR Board's commitment to increase the transparency of the organization's policies and procedures. AIMR adheres to the principle of innocent until proven guilty.