Codes

Code of Ethical Conduct


The Code of Ethical Conduct prescribes the ethical conduct of members. The code is enforceable.

See the Code of Conduct

Best Practice Guidelines for Research Integrity


The Best Practice Guidelines for Research Integrity were developed by the Securities Institute and the Securities & Derivatives Industry Association (SDIA) to assist members manage potential conflicts of interest.

The Guidelines are not mandatory, however the Association believes that they provide a benchmark for best practice in the industry.

This Association was originally known as the SDIA (Stockbrokers and Derivatives Industry Association).

See the Best Practice Guidelines for Research Integrity