Code Administrator Report

The Code Administrator Report that follows lists areas of enforcement corresponding to the Code of Ethics. The mere presence of a Code of Ethics case does not constitute a finding of a violation of the Code of Ethics. This report represents matters that have been received by the Code Administrator in the past year encompassing January 1, 2017 to December 31, 2017. This report encompasses 134 complaints of which 120 (90%) were responded to in a timely fashion by the member company and 130 (97%) were deemed resolved.

Fact Sheets


Code of Ethics Toolkit

Already a DSA Member? Login to download DSA's Code of Ethics toolkit.