Conduct Review Commission

The Conduct Review Commission (CRC) helps us safe guard the professional reputation of our members, and provide added protection to consumers.

ABOUT the CRC

The CRC is an independent body put in place to ensure members are held accountable to the FPA Code of Professional Practice and Code of Ethics. The CRC plays a vital role in regulating the conduct of FPA members and upholding the highest ethical standards within the financial profession.

The key functions of the CRC are the following:

  • Determining whether disciplinary proceedings should commence against members
  • Hearing and determining complaints against members in respect of breaches
  • Hearing and determining appeals.

CRC GUIDANCE NOTES

The CRC has considered various aspects of the FPA Disciplinary Regulations, and in an attempt to clarify particular elements of the regulations have issued the following guidance notes for members and complainants.

Read Guidance Note – No 1/2019 Minor instances of unsatisfactory conduct

Read Guidance Note – No 2/2019 Preliminary enquiries

CRC Panel members

The CRC is made up of experienced members of the financial planning profession, relevant experts and members of the public.  The CRC may comprise up to 15 members, including the Chair and a Deputy Chair(s) each of which are appointed for a term of three years. The role of CRC Chair is typically held by a legally trained professional.

  • Dale Boucher (CRC Chair)
  • Graham McDonald (CRC Deputy Chair)
  • Sandra Bowley CFP®
  • Michael Chalmers CFP®
  • Gregory Cook CFP® LRS®
  • James Cotis CFP®
  • Cherie Feher CFP® LRS®
  • Dacian Moses CFP®
  • Lisa Palmer CFP®
  • Ragnhild Sky CFP®
  • Petra Churcher
  • Pippa Elliot CFP®
  • Michael Miller CFP®
  • Shane Nicholas CFP®