The Enforcement Process

CFP Board enforces its Code and Standards through a peer-review process set forth in its Procedural Rules 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 Enforcement Process 

Additional Information on the Enforcement Process:

 For CFP® Professionals, Candidates and their Attorneys

 For the Public