The Duty to Inform policy defines the responsibility of CAIA Candidates and Members to uphold the highest standards of professional integrity and accountability. Candidates and Members are required to promptly disclose specific professional or legal matters, such as misconduct, convictions, or loss of professional privileges, that may impact their standing within the CAIA community.
If, within the past five (5) years, you have been involved in any of the situations outlined below, you must inform CAIAA in writing at misconduct@caia.org.
This commitment to transparency and compliance reinforces the value of the CAIA Charter and ensures continued trust in our professional community.
Required disclosures for professional and legal matters:
- the subject of, a defendant in, or respondent to any investigation, civil litigation, arbitration, or other action in which his or her professional conduct is at issue;
- convicted of a felony;
- convicted of a misdemeanor for fraud, misrepresentation, or crimes of moral turpitude (lying, cheating, stealing, or other dishonest conduct);
- prevented, due to misconduct or complaints against the Individual, from:
- acting under a professional license or registration (e.g., securities, investment adviser, insurance, accounting, or bank-related license) unless the action is administrative in nature, i.e. the result of the Individual determining to not renew the license by not paying the required fee and/or not completing the required continuing education;
- acting as an affiliated person or employee of any entity required to be registered under any law or regulation (e.g., investment company or bank); or
- trading in any securities market;
- found to have aided, abetted, counseled, commanded, induced, or procured the violation of any law, regulation, or rule related to their professional conduct.
In addition to your obligation to disclose any professional or legal matters that may affect your own standing, you also have a duty to inform CAIAA of any misconduct or unethical behavior you become aware of involving other CAIA Members or CAIA Candidates. If you have knowledge of situations that could potentially impact the integrity or credibility of the CAIA community, you are encouraged to report them promptly.
Please contact CAIAA at misconduct@caia.org to report any concerns regarding the conduct of others that may violate CAIA’s ethical standards or legal requirements.