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Policies and Procedures

Policies and Procedures

CFP® professionals and FPSC Level 1® Certificants in Financial Planning adhere to rigorous standards and have a written obligation to put clients’ interests ahead of their own. Ensuring adherence to these standards protects both the Canadian public and the reputation of the financial planning profession.

FPSC vigilantly guards the trust Canadians have placed in CFP professionals and FPSC Level 1 certificants. Under the direction of Standards and Enforcement staff, FPSC promptly addresses all concerns that come to our attention and thoroughly investigates all allegations of misconduct.

Standards of Professional Responsibility for CFP Professionals and FPSC Level 1 Certificants in Financial Planning

FPSC continually strives to ensure Canadians are well served in the financial planning profession by setting and enforcing rigorous standards for Certified Financial Planner® professionals and FPSC Level 1 certificants.

Standards are regularly evaluated for their relevance in meeting the needs of Canadians and to ensure they’re keeping pace with changes in the financial planning profession.

Disciplinary Rules and Procedures

These procedures are used by FPSC to enforce the FPSC® Code of Ethics, FPSC® Rules of Conduct and FPSC® Fitness Standards and to otherwise fulfill its public interest role, as well as to protect the reputation of the CFP Marks.


Policy on the Publication of Disciplinary Information

This policy protects the public interest and promotes fairness and transparency, by establishing guidelines for the publication of disciplinary notices.


Disclosure of Investigations and Interim Suspensions

The Disclosure of Investigations and Interim Suspensions is a policy to protect the public interest, fairness and transparency, by establishing guidelines for disclosure of interim suspensions in exceptional circumstances.


Disciplinary Procedures for Examination Candidate Misconduct

These procedures ensure examination candidates conduct themselves in an ethical manner and refrain from any activities that may impede the ability of their fellow candidates to complete the examinations independently.