Professional Standards and Enforcement

For CFP® Professionals

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Enforcement

Request for Comments on Proposed Procedural Rules: CFP Board is accepting comments on proposed Procedural Rules during a public comment period that ends Tuesday, January 29, 2019.  The proposed Procedural Rules will consolidate and replace the existing Disciplinary Rules and Procedures and Appeal Rules and ProceduresLearn more >

CFP Board's rigorous enforcement of its ethical standards — including releasing disciplinary information to the public — distinguishes the CFP® certification from the many other designations in the financial services industry. Everyone who seeks CFP® certification is subject to a background check, and those whose past conduct falls short of CFP Board's ethical and practice standards can be barred from becoming certified. After attaining certification, a CFP® professional who violates CFP Board's ethical and practice standards becomes subject to disciplinary action up to the permanent revocation of certification. CFP Board is committed to maintaining a disciplinary process that is fair to the CFP® professionals whose conduct comes under scrutiny and one that is credible to the public.

Review CFP Board’s Disciplinary Rules and Procedures
Download a diagram of CFP Board’s disciplinary process (PDF)

Review CFP Board’s Appeal Rules and Procedures (PDF)
Download a diagram of CFP Board’s appeal process (PDF)

Review CFP Board’s Sanction Guidelines (PDF)


Anonymous Case Histories


CFP Board publishes detailed summaries of actual cases heard by CFP Board’s Disciplinary and Ethics Commission, the body charged with hearing allegations of misconduct by CFP® professionals.  These Anonymous Case Histories enable CFP® professionals and members of the public to identify specific types of activities that CFP Board deems to be contrary to its ethical standards, and they may also be useful to a CFP® professionals preparing to appear before the Disciplinary and Ethics Commission, given the precedent of past decisions.
 

Look Up Anonymous Case Histories


Disciplinary and Ethics Commission Hearing Panel Volunteers


Hearing Panel Volunteers assist the Disciplinary and Ethics Commission with disciplinary hearings. Service as a Hearing Panel Volunteer is a prerequisite to service as a member of the Disciplinary and Ethics Commission. Hearing Panelists benefit greatly from the opportunity to meet with other CFP® Professionals and to engage in personally fulfilling work.

Prospective members of the Disciplinary and Ethics Commission should have a minimum of 5 years as a CFP® professional.

If you are interested in serving as a Hearing Panel Volunteer working with CFP Board's Disciplinary and Ethics Commission, please complete and submit a Hearing Panel Volunteer Application.

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Continuing
Education

More than 1,000 CE Sponsors have registered with CFP Board to provide continuing education.

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