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Disciplinary Rules and Procedures

The Disciplinary Rules and Procedures is a guide to how the IFPHK conducts investigations and hearings regarding actions by financial planning professionals, which includes CFP certificants, AFP certificants and candidates, when there is evidence of a breach of the  Code of Ethics and Professional Responsibility . The IFPHK provides this document as a resource for both individuals lodging a complaint about a financial planning professional, and the financial planning professional against whom the complaint is made. The financial planning professional or complainant's legal counsel, and the independent Hearing Panel all use this document to ensure that a fair and consistent process is followed with each complaint.