Wholesale In Focus

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24Corporate SupportersThe CISI offers businesses across the financial servicesindustry the opportunity to become CorporateSupporters.On one level, this is a public endorsement by theCorporate Supporter of the aims and objectives ofthe CISI including support of the Institute’s Code ofConduct. Supporters are entitled to use the CISI logo anddemonstrate a shared commitment to high standards ofexcellence and professionalism.Corporate Supporters enjoy access to a range of benefitsthat complement individual membership. ManyCorporate Supporters have made the CISI interactiveworkshop, Integrity at Work, a central part of their ownintegrity programmes.Visit cisi.org/corporatesupportersCISI Code of ConductProfessionals within the securities and investmentindustry owe important duties to their clients, the market,the industry and society at large. Where these dutiesare set out in law, or in regulation, the professional mustalways comply with the requirements in an open andtransparent manner.Members of the CISI are required to meet the standardsset out within the CISI’s Principles. These Principles, whichare known as the Lord George Principles in recognitionof the contribution made to standards of integrity bythe late Lord George FSI(Hon), impose an obligation onmembers to act in a way beyond mere compliance and tosupport the underlying values of the Institute.Material breach of the Code of Conduct would beincompatible with continuing membership of theInstitute and may result in disciplinary action.Members who find themselves in a position which mightrequire them to act in a manner contrary to the Principlesare encouraged to:1. Discuss their concerns with their line manager.2. Seek advice from their internal compliancedepartment.3. Approach their firm’s non-executive directors oraudit committee.4. If unable to resolve their concerns and, havingexhausted all internal avenues, contact the CISI foradvice by email principles@cisi.org“We are proud to be able to saythat 92% of the world’s top bankstake CISI exams.Simon Culhane, Chartered FCSI,CISI Chief ExecutivePrinciples1. To act honestly and fairly at all times when dealingwith clients, customers and counterparties and be agood steward of their interests, taking into accountthe nature of the business relationship with eachof them, the nature of the service to be provided tothem and the individual mandates given by them.2. To act with integrity in fulfilling the responsibilitiesof your appointment and seek to avoid any acts,omissions or business practices which damage thereputation of your organisation or the financialservices industry.3. To observe applicable law, regulations andprofessional conduct standards when carrying outfinancial service activities, and to interpret andapply them to the best of your ability according toprinciples rooted in trust, honesty and integrity.4. To observe the standards of market integrity, goodpractice and conduct required or expected ofparticipants in markets when engaging in any formof market dealings.5. To be alert to, and manage fairly and effectively, andto the best of your ability, any relevant conflict ofinterest.6. To attain and actively manage a level of professionalcompetence appropriate to your responsibilities,to commit to continuing learning to ensure thecurrency of your knowledge, skills and expertise andto promote the development of others.7. To decline to act in any matter about which youare not competent unless you have access to suchadvice and assistance as will enable you to carry outthe work in a professional manner.8. To strive to uphold the highest personal andprofessional standards.
What is the cost of notbeing a CISI member?CPD Scheme * £100CPD Seminars£50 (per event)CISI TV * £100Annual Lecture * £50Professional Interest Forums * £50 (per forum)Securities & Investment Review £120 (annually)IntegrityMatters £40Professional Refresher £150Infolink * £50Regulatory Update (online version) £120 (annually)Total: £830...and the cost of CISImembership includingall of the above?From only £60You do the maths+44 (0)20 7645 0650cisi.org/membershipmemberservices@cisi.org†* These benefits cannot be purchased individually and are not available to non-members†Affiliate - £100, ACSI - £60 (for first year, £120 thereafter), MCSI - £165Discount available for membership fees paid by direct debit
Page 5 and 6: Where We AreMore than 40,000 member
Page 7 and 8: Qualifications StructureOur qualifi
Page 9 and 10: Commodity DerivativesThe Certificat
Page 11 and 12: Investment ManagementDevised primar
Page 13 and 14: The Investment OperationsCertificat
Page 15 and 16: A Partnership with the CISI Provide
Page 17 and 18: Global Employment OpportunitiesObta
Page 19 and 20: Membership LevelsIndividual Charter
Page 21 and 22: CISI TVCISI TV is a brand new membe
Page 23 and 24: Other Membership BenefitsInstitute
Page 25: Promoting ProfessionalismIntegrity

Wholesale In Focus

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