Conduct Review Panel Guidance and Advice
About the Conduct Review Panel
Formed in 2014, the Conduct Review Panel is an independent panel composed of CFP® professionals and members of the public that reviews staff reports and directs the appropriate outcome of complaints, in the public interest. The panel’s membership reflects significant diversity of experience and geography.
About Letters of Guidance and Advice
Where the Conduct Review Panel has concerns about a certificant’s conduct but determines that escalating a complaint to a Discipline Hearing Panel is not necessary in the circumstances, the Conduct Review Panel may issue a Letter of Guidance and Advice to the certificant.
Such Guidance and Advice is also published here anonymously to explain the type of conduct that is a concern to the Conduct Review Panel, for the benefit of the public and certificants.
Prior to 2014, Letters of Caution were issued by FPSC Staff to serve a similar function.
Neither Letters of Caution nor Letters of Guidance and Advice reflect a finding of professional misconduct. Findings of misconduct may only be made by a FPSC Discipline Hearing Panel. In accordance with FPSC’s Policy on the Publication of Disciplinary Information, all decisions issued by a Hearing or Appeal Panel are published on FPSC’s Reports on Disciplinary Actions.
Letters of Guidance and Advice by Year
Notice to CFP Professionals and FPSC Level 1 Certificants
In the Fall 2016 issue of the FP Standard, the Conduct Review Panel published this notice regarding a recent pattern of allegations and the corresponding guidance to certificants to meet their professional obligations.