Enforcement
Upholding the Code & Standards
CFP Board produced the Upholding the Code & Standards video series and an associated Handbook for Respondents to educate CFP® professionals and the public about CFP Board’s enforcement and adjudication processes. These resources explain CFP Board’s investigation process, what is required after receiving a Complaint, how to file an Answer to a Complaint, how to pursue settling a Complaint, and what to expect before, during and after a hearing or review held by CFP Board’s Disciplinary and Ethics Commission. A Respondent also should read and understand CFP Board’s Procedural Rules.
Video Series
This video series is composed of nine short videos. Two videos are intended for the public: one that provides an overview of the enforcement process and another on the grievance process that explains how CFP Board receives and acts on tips from the public. The other seven videos are most relevant to Respondents in a CFP Board proceeding.
Enforcement Overview Process
Enforcement Process Overview
This video provides an overview of CFP Board’s Enforcement and Adjudication processes from the time a CFP® professional engages in conduct that comes under review by CFP Board to the time a matter is presented to the Disciplinary and Ethics Commission.
Introduction to Investigations
Introduction to Investigations
This video explains how CFP Board detects information leading to an investigation, what to do if you receive a Notice of Investigation and how to respond to a Notice of Investigation.
Duty of Cooperation
Duty of Cooperation
This video describes a CFP® professional's Duty of Cooperation and discusses the consequences for failing to cooperate with CFP Board's investigation.
Resolution-of-the-Investigation-Process
Resolution of the Investigation Process
This video explains how CFP Board resolves an investigation, covering topics such as dismissal and the initial process of filing a complaint alleging a violation of the Code and Standards.
Complaints, Motions and Hearings
Settlements, Complaints and Motions
This video describes CFP Board's peer-review process for determining whether a CFP® professional has violated CFP Board's Code and Standards.
DEC-Hearing-and-Appeals
Hearing Process, Decisions & Appeals
This video describes hearings before CFP Board's Disciplinary and Ethics Commission (DEC), decisions issued by the DEC and CFP Board's appeals process.
Interim-Suspension-and-Administrative-Order
Interim Suspensions & Administrative Orders
This video describes CFP Board's process for handling special cases, including cases involving egregious conduct requiring emergency action and cases involving a Respondent's failure to cooperate with CFP Board's investigation or disciplinary process.
Post-Hearing-Compliance
Post Hearing Compliance & Reinstatement
This video describes the obligations of a Respondent after he or she has been subject to sanctions under the Procedural Rules.
The-Grievence-Process
The Grievance Process
This video describes the process for lodging a complaint with CFP Board.
The Full Video Series
This 30-minute video includes the complete Upholding the Code & Standards video series, which is designed to educate CFP® professionals and the public about CFP Board’s investigation process, the complaint process, and what to expect before, during and after a hearing or review held by CFP Board’s Disciplinary and Ethics Commission.
Handbook for Respondents
To assist individuals involved in an investigation or hearing, this handbook addresses questions about each step of CFP Board’s enforcement and adjudication processes.
Additional Resources
CFP Board has produced a number of materials that can help you navigate the investigation and hearing processes. You may also send questions about CFP Board’s standards and enforcement process to compliance@cfpboard.org.
Procedural Rules
Read the rules that govern CFP Board’s processes for hearings, settlements, appeals, reinstatements and related matters.
Sanction Guidelines
These guidelines identify specific conduct in violation of CFP Board's Code and Standards and the types of sanctions deemed appropriate for that conduct.
Case Histories
See summaries and public sanction orders from actual cases that have been reviewed by CFP Board's Disciplinary and Ethics Commission.