Ethics
Ethics Self-Reporting Form
The Ethics Reporting form is used by a CFP® professional to report to CFP Board any disclosable event, as detailed within Standard E.3 of the Standards of Conduct. Written notice to CFP Board must be provided within thirty (30) calendar days of both the initiation and conclusion of the reportable matter.
LEARN ABOUT ENFORCEMENT
Watch the Enforcement Video Series to understand how CFP Board upholds the Code and Standards.
You may also access the Respondents’ Handbook.
Instructions: Please log into your CFP Board account to submit a disclosable event using the Ethics Reporting form. The form will include all the relevant fields for providing your information and supporting documentation. Not every report results in an investigation by CFP Board, but in the event that further information is necessary, CFP Board staff will contact you.
Access the Ethics Reporting Form
If you have questions about disclosable events or your submission, you may contact us at compliance@cfpboard.org.