Membership Integrity Requirements
All new CISI members are required to demonstrate their commitment to ethical behaviour by completing an
online integrity test, IntegrityMatters. This enables
members to demonstrate tangible evidence of their commitment to integrity. IntegrityMatters is not an
examination but a test taken as part of an elearning tool.
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Chartered Wealth Manager Policy
This policy relates to the process for voting members to obtain and maintain Chartered Wealth Manager status.
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Individual Charter Policy
This policy relates to the process for Individual Chartered members to maintain their Chartered status.
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The CISI asks all of its members to make the following declaration when they apply or take up CISI
- I have not been adjudged bankrupt or insolvent or compounded with my creditors and I am not currently or
have been subject to disciplinary procedures by the FCA, other regulator or any professional body within
the past five years.
- I apply to become a member of the Chartered Institute for Securities & Investment and agree to abide
by the Royal Charter, Bye-laws, Regulations, and to uphold its high standards as published in its
Professional Code of Conduct. Any breach of the Regulations may give rise to disciplinary procedures and
termination of my membership.
- I agree to maintain competence through CPD as outlined in Annex 3 of the Membership Regulations.
- If not already achieved, I agree to pass IntegrityMatters within three months of joining to fulfill my
commitment as a member of the CISI.
- I know of no reason why I should not become a member.
How to complain about a member
Professionals within the securities and investment professions owe important duties to their clients, the
market, the professional sector 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 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
CISI member complaint
* Completed forms may be sent via email to firstname.lastname@example.org or by
mail to the CISI for the attention of the head of professional standards.
CISI Disciplinary Process
The CISI has an established disciplinary process to consider infractions by members of its membership
regulations and Code of Conduct. Disciplinary action has recently been taken against the following members.
Disciplinary action was taken against the following:
Nicholas Lanzl MCSI
11th July 2019
Following notification that Mr Lanzl had been subject to disciplinary action by his employer, he was invited to appear before a Disciplinary Panel. The Panel, having considered the matter and the member’s submissions, determined that Mr Lanzl was in breach of the CISI Membership Regulations and CISI Code of Conduct, and that he should receive a reprimand and be required to complete an additional three hours of CPD focused on data protection within a 12 month period.
SPS Disciplinary Process
This policy relates to discipline in relation to the CISI’s SPS decisions, in accordance with the UK
SPS Appeals Process
This policy relates to appeals in relation to the CISI’s SPS decisions, in accordance with the UK