The Enforcement Process
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.