FP Canada Standards Council publishes a variety of documents and reports containing standards, policies and guidelines for the financial planning profession. These documents are a helpful resource for FP Canada certificants, students, educators, the Canadian public and other stakeholders.
Set and enforced by the FP Canada Standards Council, the Standards of Professional Responsibility define the ethical and professional responsibilities of CFP professionals and QAFP professionals. The Standards of Professional Responsibility include the: Code of Ethics, Rules of Conduct, Fitness Standards and Practice Standards. These standards are maintained by the Standards Panel.
The current version of the Standards of Professional Responsibility took effect in January 2020. Any complaints alleging misconduct by a current FP Canada certificant prior to January 2020, will be governed by previous versions of the Standards of Professional Responsibility.
The Disciplinary Rules and Procedures (DRP) guide how FP Canada Standards Council conducts investigations and disciplinary hearings into actions by FP Canada certificants that may represent a breach of the FP Canada Standards Council Standards of Professional Responsibility.
The Disciplinary Rules and Procedures for Examination Misconduct (DPEM) guides how the Standards Council conducts investigations and hearings relating to misconduct on FP Canada Certification Examinations.
The Policy on the Publication of Disciplinary Information establishes guidelines for the publication of disciplinary notices to protect the public interest and promote fairness and transparency.
The Policy on the Disclosure of Investigations and Interim Suspensions establishes guidelines for interim suspension of certification during an ongoing investigation and the public disclosure of an ongoing investigation in exceptional circumstances, to protect the public interest.