Lowthorp Richards represents CFA Charterholders, CFA Institute Candidates & CFA Institute Members (all “Covered Persons”) during the CFA Institute Professional Conduct Program (“PCP”) investigation & disciplinary process. We specialize in advising clients during the PCP inquiry phase providing a comprehensive defense against allegations and determined violations. Our attorneys counsel Covered Persons through every step of the disciplinary process.
Diana P. Lytel is uniquely qualified as a defense attorney overseeing the CFA Institute Professional Conduct practice group given her work within the National Association of Securities Dealers (now FINRA), her experience in the Investigation Division at the Department of Corporations (Department of Business Oversight) and her tenure with Morgan Stanley’s litigation department. Her specialized legal background with allegations of complex violations has been a great asset to our clients as she frequently counsels Covered Persons through the CFA Institute Professional Conduct Program (PCP) investigations.
In the event you received a letter entitled “Notice of Investigation” from PCP where the special investigator has opened an investigation to inquire further as to a potential violation, you have a relatively short window to research the matter, develop the most appropriate tact for refuting or mitigating the claims and to prepare a comprehensive response. Given the seriousness of PCP investigations, you want to immediately seek legal advice from an attorney specializing in CFA PCP matters before you have any further communication with the investigator or the CFA Institute.
The best chance for resolving any PCP matter with a favorable outcome is early-on with the assistance of a skilled attorney with extensive PCP defense expertise in CFA Institute investigations. We offer specialized counsel which we believe makes our firm unique. Our body of knowledge on matters related to the CFA Institute grows and advances with every client and we look to bring this advocacy experience to render the best possible outcome in both exam and industry-related cases.
Our law firm is not interested in handling a large number of Professional Conduct cases – and for good reason. Lawyers handling a high volume of PCP cases often struggle to provide the attention clients deserve. Also, we will only work with clients in which the firm believes it can achieve a more favorable outcome. Finally, our selectivity of cases affords us the time, effort and responsiveness associated with the highest level of client satisfaction.