Disciplinary Actions

Where a CIFP credential holder and licensee is found to have breached the Code of Conduct or Practice Standards or, has been found guilty of professional misconduct that reflects negatively on the certification marks or, on the practise of financial planning/financial advising, the CIFP licensee may be subject to sanctions.

Disciplinary actions against a CIFP credential holder that are currently before the CIFP Retirement Institute, the CIFP Chartered Institute of Financial Planning, the Conduct Committee or the Hearing Panel as well as the outcomes of completed hearings are listed below.