Ethical considerations for CIMA members when handling complaints

Financial Management (FM) magazine

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8d ago 12:39

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This episode of the FM podcast is the continuation of an occasional series on the show called Beyond the Code.

That means taking a detailed look at part of the CIMA Code of Ethics.

Xose Lumor, manager–Advocacy and Professional Ethics, discusses details with Monique Samuel, associate manager–Professional Conduct, on how members can properly handle official complaints and what they should know about the process if a complaint moves forward.

Resources mentioned in this episode include:

n A downloadable ethics checklist.

n CIMA Member in Practice Rules.

n A summary page on CIMA’s approach to potential sanctions.

What you’ll learn from this episode:

· An introduction of the topic and a refresher on the Beyond the Code series.

· Why members in practice should maintain communication with a client that has raised an official complaint.

· An explanation of resources, including an ethics checklist that can help members deal with ethical dilemmas.

· Samuel’s summary of the process after an ethics complaint is referred to the Disciplinary Committee.

· A reminder that such complaints are rare.

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