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Investor Complaint Process

The ETF Institute® Investor Complaint, Public Disciplinary, & Revocation/Suspension Process

Our Commitment

The ETF Institute is committed to setting and enforcing ethical standards as part of CETF® certification in an effort to help benefit the public. As part of our membership registration process, all CETF® candidates commit to uphold the high standards outlined in our Code of Ethics. The ETF Institute’s commitment to uphold the Code of Ethics — including releasing public disciplinary information — helps distinguish the CETF® from other certifications in the financial services profession.

Code of Ethics

The ETF Institute holds its members to the highest standards of professionalism and excellence. We take seriously the commitment to honesty, integrity, and ethical conduct and require all members to do the same. The ETF Institute has enacted the following code of ethics, to which members of The ETF Institute agree to abide by:

  • Act with honesty, competence, and integrity with all prospective and existing clients, colleagues, or other professionals, in all aspects of your profession.
  • Commit to the continual improvement of your professional knowledge in exchange-traded funds and strive to promote proper ETF education to others.
  • Not knowingly misrepresent your investment knowledge, the Certified ETF Advisor (CETF®) designation, your membership to The ETF Institute, or any other aspect of exchange-traded funds to prospective or existing clients, colleagues, or other professionals.
  • Abide by all of the relevant laws and regulations of the investment industry as they relate to your profession.

Enforcement

The ETF Institute takes steps to enforce the Code of Ethics — including the release of disciplinary information to the public — when CETF® professionals have fallen short of their obligations and failed to adhere to our standards.

The ETF Institute has a defined process for handling allegations of misconduct and is committed to maintaining an enforcement process that is credible to the public and fair to those whose conduct is being evaluated. This process includes, but may not be limited to:

  • Written notice of the allegations and potential grounds for revocation of the CETF® designation.
  • An opportunity to present documents, witnesses and arguments.
  • The right to be represented by counsel of the member’s choice.
  • A written order from The ETF Institute that sets forth the basis for the decision.
  • The right to appeal to The ETF Institute’s Code of Ethics Board.

File a Complaint

The current process for reporting misconduct, whether self-reporting or otherwise, is to contact The ETF Institute via email, phone or fax, and provide all relevant information. Once the misconduct report has been received, an acknowledgement email will be sent, along with requests for any additional information, if required.

Public Disciplinary Actions

The ETF Institute retains the right to release disciplinary information to the public, upon the conclusion of any investigation pursued by the Code of Ethics Board. This release may include, but is not limited to, an affirmation via email inquiry as to the status of any individual’s good standing with The ETF Institute.

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