Standards and Code of Conduct

The Center for Financial Certifications requires all Certificants to maintain the highest ethical standards. Certificants must adhere to a rigorous Code of Ethics and Code of Professional Conduct, which is included in the Center for Financial Certifications Certification Policies and Standards.

Discipline

A complaint of misconduct filed against a Certificant or Applicant for program certification is a serious matter. The Center for Financial Certifications will investigate each complaint thoroughly.

Certificants or Applicants who are found to have violated the Certification Policies and Standards are subject to the Center’s Disciplinary Policy and Procedure.

Disciplinary proceedings are restricted to the question of ethical conduct of Center for Financial Certifications Certificants or Applicants. The Center for Financial Certifications can act only to enforce its Certification Policies and Standards which consist of the following sections: Code of Ethics, Code of Professional Conduct, Application Policy, Candidate Fitness Standards, Renewal Policy, Certification and Trademark Usage Policy and Disciplinary Policy and Procedure.

The final decision with respect to a complaint will depend on the weight of all available information. The disciplinary process may not resolve a complainant’s allegation or grievance. Complainants should not expect to receive monetary compensation through the Center for Financial Certifications, its employees, or the Board of Directors of the Institute for Financial Literacy, regardless of the scope of the grievance, loss suffered, or disciplinary finding. Disciplinary proceedings are restricted to the question of compliance of the Certification Policies and Standards by Center for Financial Certifications Certificants or Applicants. The Center for Financial Certifications can act only to enforce its Certification Policies and Standards. Enforcement measures include private censure, public letter of admonition, and/or suspension or revocation of the right to use Center for Financial Certifications mark or certification marks.

Submission Instructions

All complaints filed against a Certificant or Applicant must be addressed to the Director of Certifications and submitted in writing. Complaints should include relevant and detailed information pertaining to your situation, including name and contact information for the Certificant or Applicant against whom the complaint is being filed, nature of your association with the Certificant or Applicant, alleged violation of ethical and/or professional conduct and copies of letters, contracts or other documents supporting your complaint.

The Center for Financial Certifications will contact you should additional information be required.

Once completed, complaints should be mailed to:

Center for Financial Certifications
Attn: Director of Certifications - Complaints
260 Western Ave., Suite 1
South Portland, ME 04106