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CFP Board enforces its standards through a peer-review process set forth in its Disciplinary Rules and Procedures that is credible to the public and fair to those whose conduct is being evaluated. The process includes:

  • Written notice of the allegations and potential grounds for sanction.
  • An opportunity to present documents, witnesses and arguments at a hearing.
  • The right to be represented by counsel of the Respondent's choice.
  • A written order from CFP Board's Disciplinary and Ethics Commission that sets forth the basis for the decision.
  • The right to appeal to a committee of CFP Board's Board of Directors.

View a diagram of CFP Board's Disciplinary Process 

Additional Information on the Enforcement Process:

 For CFP® Professionals, Candidates and their Attorneys

 For the Public

File a Complaint
You can help protect the CFP® certification by reporting conduct that does not meet CFP Board's Code of Ethics and Standards of Conduct
File a Complaint