Professional Code
Professionals within the securities and investment industry owe important duties to their clients, to the market, the industry and to 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 Securities & Investment Institute requires members to meet the standards set out within the Institute’s Principles. These principles impose upon members an obligation to act in a way that moves beyond mere compliance and supports the underlying values of the Institute.
The Professional Code of conduct is one of the responsibilities of the SII's
Integrity & Ethics Committee.
As a guide, the Principles are shown below, with a column indicating the main stakeholder in connection with application of the relevant Principle. However, members should be aware that the list is not exclusive and it is recognised that in some instances, the principles are applicable to more than one stakeholder.
A material breach of the Principles would be incompatible with continuing membership of the Securities & Investment Institute.
Members who find themselves in a position which might require them to act in a manner contrary to the Principles are encouraged to:
1. Discuss their concerns with their line manager
2. Seek advice from their internal compliance department
3. Approach their firm’s non-executive directors or audit committee
4. If unable to resolve their concerns and, having exhausted all internal avenues, contact the Securities & Investment Institute for advice (email: principles@sii.org.uk)
