The Code of Professional Conduct
CFIA charterholders commit, in writing, at initial charter and at every renewal, to the following obligations:
1 · Integrity. Act with honesty and integrity in all professional dealings, and never misrepresent qualifications, experience, or the capabilities or limitations of any AI system under their oversight.
2 · Competence. Maintain the knowledge the charter certifies, complete 20 hours of continuing professional development annually, and decline oversight responsibilities that exceed their competence.
3 · Duty of care. Where AI systems materially influence investment or client outcomes, exercise the independent professional judgment that fiduciary and regulatory obligations require — including documenting, challenging, and where necessary overriding system outputs.
4 · Candour. Represent the CFIA designation accurately, use the marks only while the charter is Active, and cooperate fully with any ICFDT conduct inquiry.
5 · Respect for law. Comply with applicable securities, data-protection, and AI regulation in every jurisdiction in which they practise.
Filing a complaint
Any member of the public — clients, employers, regulators, or other professionals — may file a complaint about the conduct of a CFIA charterholder. No fee, no form, no standing requirement.
How: email conduct@icfdt.com with (i) the charterholder's name or charter number, (ii) a description of the conduct, and (iii) any supporting material. Anonymous complaints are accepted, though they may limit what the Panel can investigate.
Acknowledgement: within five business days.
Review process
| Stage | What happens | Timeline |
|---|---|---|
| 1 · Intake | Complaint logged; preliminary assessment of whether the Code is engaged. Complaints outside the Code's scope are closed with written reasons. | 10 business days |
| 2 · Notice & response | The charterholder is notified of the substance of the complaint and given the opportunity to respond in writing. | 21 days to respond |
| 3 · Panel review | The Professional Conduct Panel — which includes at least one member of the independent Standards Council — reviews the complaint, the response, and the record. | 30 days |
| 4 · Determination | Written finding issued to both parties. Where a violation is found, a sanction is imposed (below). | — |
| 5 · Appeal | A sanctioned charterholder may appeal to the Standards Council within 30 days. The Council's decision is final. | 45 days |
Sanctions
Sanctions are proportionate to the conduct and may include: private censure; mandatory remedial education; suspension of the charter for a defined period; or revocation of the charter. Suspensions and revocations are reflected immediately in the public charterholder registry, and revocations are permanent unless overturned on appeal.