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Appendix 10.1: CII Code of Ethics

2. You must act with the highest ethical standards
and integrity.

This includes, but is not limited to: Key questions:
2.1 being honest and trustworthy; • What would an outsider think of
what I am doing, and does this
2.2 being reliable, dependable
and respectful; matter ethically?
2.3 not taking unfair advantage of a client, • How would my actions look to the CII?
a colleague or a third party; • Should I discuss my proposed actions
2.4 not bringing the financial services with my superior or another appropriate
industry or the CII into disrepute person or the CII?
whether through your actions in work • Do I know if my organisation has an
or outside work;
ethical code and do I fully understand it?
2.5 not offering or accepting gifts,
hospitality or services which could, • Does my organisation reward good
or might appear to, imply an ethical behaviour?
improper obligation; • Does my organisation follow a whistle
2.6 promoting professional standards blowing policy?
within the industry; • How can I promote trust in my
2.7 encouraging your organisation to organisation and the financial Reference copy for CII Face to Face Training
produce an ethical code; services industry?
2.8 making sure your CII membership or • Do people trust me? If not, why not?
chartered status is described correctly;
• Do I think it is OK if I don’t get caught?
2.9 informing the CII of any change in your
work or circumstances which affect your • Do I say “show me where it says I can’t”
membership or chartered status; and or do I say “is this ethical”?
2.10 operating both professionally and • Why am I being entertained or
in a financially responsible manner offered hospitality?
including avoiding personal insolvency.

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