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Applicant's details

To be completed by the person applying for membership

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* 1. Salutation

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* 2. First name

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* 3. Surname

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* 4. Home address (line one)

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* 5. Home address (suburb)

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* 6. Home address (city)

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* 7. Email

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* 8. Mobile

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* 9. Employer / organisation

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* 10. Job title

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* 11. I have two years (or more) professional experience in the financial service sector and/or related industries such as consulting, law, academia or government.

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* 12.
Online ethics modules
  • The ethics training is based on the CFA Program. 
  • There are six modules which take approximately eight hours in total to complete.  You have three months to do this.
  • The modules are accessed on Strategi's Radar platform, and they will provide instructions.
  • If you have used Radar previously, please advise indicate below to retain your learning history.

Terms of conditions of CFA Society NZ Associate Membership
  • I will successfully complete the initial online ethics training modules within three months (not required if Level one of the CFA Program has been completed successfully).  If additional times is required, a cost will apply.
  • The membership period is 1 April to 31 March, with all memberships renewing 1 April.  Members can join at any time and will be charged a pro-rata amount.
  • Continuing professional development (CPD).  Before, and during, my first full year of membership (1 April to 31 March), CPD is not required.  After that I will complete two hours of ethics focussed CPD each year and record this when I renew my membership.
  • Membership is subject to making a ‘Professional Conduct Statement’ each year.
  • Membership is subject to annual payment of a subscription fee.
  • As an Associate Member I will abide by the current CFA Society New Zealand Incorporated Rules.
  • I agree to the terms and conditions of Radar (Strategi's online platform used for the ethics training).
  • I agree to receive emailed correspondence from CFA Society New Zealand.
  • I authorise the investigation of all statements made and information provided by me with respect to this application.
  • Associate Members of CFA Society New Zealand may not utilize CFA trademarks, nor claim explicitly or implicitly that they are a CFA charterholder

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* 13. I agree to the membership terms above

Professional conduct statement

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* 14. In the last two years, have you been the subject of a written complaint regarding your professional conduct in either a direct or supervisory capacity?

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* 15. In the last two years, have you been the subject of, a defendant in, or respondent to any investigation, civil litigation, arbitration, or other action or proceeding in which your professional conduct, in either a direct or supervisory capacity, was at issue?

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* 16. In the last two years, have you been temporarily or permanently suspended, barred, banned, or otherwise prevented from: (i) working or participating in the securities industry; (ii) trading on any securities or contract market; (iii) acting as a broker, dealer, investment advisor, or other person required to register under any law or regulation; or (iv) acting as an employee; registered representative; or affiliated person of any entity required to register or be licensed under any law or regulation (ie, investment company, bank, etc)?

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* 17. In the last two years, have you ever been found to have aided, abetted, counselled, commanded, induced, or procured the violation of any securities- or commodities-related law, regulation, or rule?

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* 18. In the last two years, have you been convicted of or pled guilty to: (i) any crime defined as a felony or punishable by more than one year in prison (regardless of the sentence actually imposed), or (ii) any crime involving moral turpitude (fraud, lying, cheating, stealing, or other dishonest conduct) or any substantially equivalent crime in any court of law?

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* 19. By submitting this document, I hereby acknowledge that I have read and understand the document in its entirety and agree with all of the above.

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