As a member of the Society of Technical Analysts (STA) you are expected to set an example of good conduct to those around you. This applies not just in work settings but in other areas of your life where decisions you make could bring you, the firm you work for and technical analysis as a profession into disrepute.
Therefore, there is an expectation that you will act with integrity at all times.
Indicators of integrity:
1. compliance with relevant laws and regulation – including maintaining confidentiality, avoiding market abuse, etc;
2. acting within the powers allocated to you – not claiming to have more authority than you actually have;
3. acting in the best interests of those relying on your work – engaging in your activities with skill, care and diligence;
4. exercising judgement – consider the advice of others but accept responsibility for your decisions;
5. giving credit to others where it is due;
6. preventing conflicts of interest wherever possible and managing/communicating those that cannot be avoided;
7. politely declining gifts or hospitality where accepting them could be seen as creating an obligation;
8. avoiding acting in a way which could be discriminatory – recognising the benefits to you, your firm and technical analysis more widely from diversity and inclusion;
9. raising concerns about conduct that you observe in a way which facilitates discussion and resolution;
10. when attending any STA events or when being perceived as representing the STA you will act with propriety and in a professional manner.
1. You are required to inform the STA of any matter concerning yourself, which might impair your
ability to perform your duties or affect your reputation as a technical analyst. This includes matters which might adversely affect either your, your employer’s or the STA’s reputation.
2. Examples of matters which would require disclosure are as follows (this list is intended as a guide and is not exhaustive):
- conviction for a criminal offence (other than a spent conviction or a minor motoring offence);
- the laying of a criminal charge, committal for trial or an arrest;
- if you are adjudged bankrupt or make any composition or enter into any deed of arrangement with your creditors or are subject to any civil action for debt;
- your exclusion from membership of a professional body of which you were formerly a member or the commencement of proceedings to exclude you;
- disqualification from acting as a director or corporate officer in the UK or elsewhere or the commencement of proceedings to disqualify you; and
- any regulatory action taken against you in the UK or elsewhere.
If you fail to comply with this Code, you may be subject to disciplinary action up to and including having your membership of STA terminated.