How to complain about a member
Professionals within the securities and investment industry owe important duties to their clients, the market, the industry 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 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