For CFP® Professionals, Candidates and Their Attorneys

As part of the certification, a CFP® professional commits to complying with the Code of Ethics and Standards of Conduct. CFP Board may impose sanctions against those who have violated the Code and Standards.

CFP Board will follow the Procedural Rules when enforcing the Code and Standards for CFP® professionals and when enforcing the Fitness Standards for candidates and professionals eligible for reinstatement. Complaints and other documents sent to Respondents by CFP Board include information about the process and the Respondent's next steps, including both required actions and optional actions, with any associated deadlines.

For CFP® professionals and/or their attorneys responding to a complaint, here are helpful resources for understanding the process:

• Review the Procedural Rules
• Review the Sanction Guidelines
• Review the Anonymous Case Histories
• Review a Diagram of the Process

For candidates, or professionals eligible for reinstatement, and/or their attorneys, here are helpful resources for understanding the process:

• Review the Procedural Rules
• Review the Anonymous Case Histories
• Review the Fitness Standards
• Review a Diagram of the Process