All DSI (candidate) certified professionals are subject to DSI Disciplinary Law. By certification they agree to the DSI Code of Conduct and the supervision of Disciplinary Law. This applies to professionals who act, advise or inform on investments, as well as to compliance and AML professionals at a DSI participating employer.

Independent contractors are also covered by disciplinary law, provided they are DSI-certified and work for at least one DSI member.

If a professional does not comply with the DSI Code of Conduct, you can report this to DSI. An internal prosecutor will then see if the complaint can go to the independent Disciplinary Committee.

If the complaint is upheld, the Disciplinary Committee can impose a sanction, such as a warning, a fine of up to 25,000 euros, temporary suspension or even revocation of certification. All decisions are posted in the DSI Public Register. A decision can be appealed to the Appeals Committee.

DSI Disciplinary Law is a form of justice in which the independent Disciplinary Committee assesses whether a certified professional complies with the rules of conduct set out in the DSI Code of Conduct.

Disciplinary law works preventively: a conviction can affect your career and shows that standards of conduct are serious. In addition, DSI offers many practical examples of integrity dilemmas and the Disciplinary Committee publishes its rulings so that everyone can learn from practice.