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Complaints against a Member

How to complain about a member

Professionals within the securities and investment industry owe important duties to their clients, the market, the industry and the Nigerian society at large. These duties are set out in the Institute's Membership Regulations and Code of Ethics including Membership Code of Ethics and Standards of Professional Conduct. Professionals must always comply with the requirements in an open and transparent manner.

Membership of the Chartered Institute of Stockbrokers (CIS) requires members to meet the standards set out within the Institute’s Rules and Regulations . These Rules and Regualtions impose an obligation on members to act in a way beyond mere compliance and to support the underlying values of the Institute.

Material breach of the code of conduct by a member would be incompatible with continuing membership of the CIS and if you consider that someone whom you know or believe to be a  member of the CIS, has acted in a professional capacity that you consider to be inappropriate or unprofessional, then we invite you register your complaint with the Institute using the complaint form.

The Institute has disciplinary machinesthat handle all forms of complaints, however, such complaints are subject to investigation and appropriate measure as recommended by the Committee.

You can inform the Institute in writing by addressing such complaints with evidence to:

Registrar & Chief Executive
Chartered Institute of Stockbrokers
10th Floor, Bookshop
50/52 Broad Street