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Important Notes
Effective June 30, 2020, CFP Board’s new Procedural Rules replaced the Disciplinary Rules and Procedures and Appeal Rules and Procedures.

Effective October 1, 2019, CFP Board's new Code of Ethics and Standards of Conduct replaced CFP Board’s current Code of Ethics, Rules of Conduct, Financial Planning Practice Standards and Terminology.  The new Code and Standards are being enforced as of June 30, 2020.
Learn More about the Code and Standards

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

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