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 FP Canada Standards Council, the Standards of Professional Responsibility define the ethical and professional responsibilities of CFP professionals and FPSC Level 1 certificants. 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 2019. Any complaints alleging misconduct by a current CFP professional or FPSC Level 1 certificant prior to January 2019, will be governed by previous versions of the Standards of Professional Responsibility:
This document contains certification guidelines for CFP certification and FPSC Level 1 certification. The requirements are designed to ensure that all who obtain and maintain CFP certification and FPSC Level 1 certification have the necessary competency
to deliver the vital services they provide to Canadians.
Effective January 1, 2020, these certification guidelines outline the requirements for CFP certification and QAFP™ certification, which will replace FPSC Level 1 certification. The requirements are provided in advance to inform stakeholders and to help future candidates prepare.
These procedures 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.Download
This policy establishes guidelines for the publication of disciplinary notices to protect the public interest and promote fairness and transparency.Download
This policy 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.Download
A Letter of Guidance and Advice may be issued by the Conduct Review Panel where the Panel has concerns about a certificant’s conduct but determines that a remedial approach, through the issuance of guidance, is appropriate in the circumstances. Letters of Guidance and Advice do not reflect a finding of professional misconduct. All Letters of Guidance and Advice are anonymized and published on FP Canada’s website. This publication provides notice to the certificants and the public regarding the type of conduct that presents a concern to the Conduct Review Panel.2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2011 | 2010
Notices to FP Canada Certificants
This report details FP Canada Standards Council’s Intake, Investigation and Enforcement process.2017 | 2016
This document provides information that may be helpful to FP Canada certificants who are the subject of a complaint or Investigation.Download