Make a complaint about a financial planner

The Standards Council receives and reviews complaints about FP Canada certificants involving:

1. Any conduct that may breach the Standards of Professional Responsibility (Code of Ethics; Rules of Conduct; Fitness Standards and Practice Standards);
2. Any other conduct that may bring the reputation of the certification marks into question.

Complaints must be filed within six years of the date you knew (or ought to have known) of the events about which you are complaining. It is important to act quickly and to respond promptly to any requests for more information regarding your complaint. If you wait too long, the Standards Council may not be able to proceed with the complaint as the evidence required to investigate your complaint may no longer be available or reliable. The sooner you make your complaint, the more likely it is that relevant documents still exist, witnesses can be more easily located, memories have not faded, and evidence is not missing.

The Standards Council does not, typically, review anonymous complaints and it is strongly suggested that you identify yourself in the Complaint Form. A reluctance to participate in the process frequently results in the Standards Council not being able to conduct a full and fair Investigation, which may result in the complaint being closed or dismissed.

The Standards Council will confirm receipt of your complaint within approximately ten (10) business days. Staff will conduct an initial review of the complaint. Staff may contact you during this initial review to request additional information/documentation from you. The initial review may take up to 120 days to complete depending on the complexity of the complaint and the need for additional documentation/information. Standards Council staff may contact the Certificant during the initial review process.