Membership Rules & Regulations

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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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 flowchart

  CISI member complaint form*

* Completed forms may be sent via email to standards@cisi.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 Regulator’s requirements.

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SPS Appeals Process

This policy relates to appeals in relation to the CISI’s SPS decisions, in accordance with the UK Regulator’s requirements.

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CFP^TM

 CFP^TM policy
 Guide to representing CISI membership and using CERTIFIED FINANCIAL PLANNER^TM and CFP^TM