The enforcement process has four stages
1. Intake and Initial Review
Standards Council staff review all complaints received. They can close complaints with or without a staff caution, or the Head of the Standards Council can escalate them to investigations. Not every complaint proceeds to a formal investigation, and many are closed or resolved at this stage.
2. Investigation
If the Head of the Standards Council determines that there are grounds for an investigation, the QAFP professional or CFP professional named in the complaint is notified. At the end of the investigation, the results are presented to the Conduct review Panel.
If the Head of the Standards Council determines that there are grounds for an investigation, the QAFP professional or CFP professional named in the complaint is notified. At the end of the investigation, the results are presented to the Conduct review Panel
3. Conduct Review Panel
At this stage, complaints can be
- Closed
- Closed with a Guidance and Advice letter
- Referred to a Discipline Hearing Panel
4. Disciplinary Hearing Panel
Before a hearing, the Standards Council publishes
Statements of Allegations with details about the alleged misconduct on FP Canada’s website.