The professionalism of FPA members ensures that clients and prospective clients are able to obtain fair and competent financial planning advice. A commitment to professionalism ensures compliance with high standards of professional and ethical conduct to enhance the public awareness of, and confidence in, the financial planning profession.

Disciplinary Process

Our disciplinary process was put in place as a formal mechanism to investigate complaints against FPA members. Members who are found to have breached the Code may be sanctioned.

Decisions about whether an FPA member has breached the Code and whether they should be sanctioned, are made by The FPA Conduct Review Commission (CRC), a panel entrusted with responsibility of determining each case.

To maintain our ongoing commitment to the highest professional accountability standards, the FPA has recently undertaken a proactive review of the FPA Disciplinary Regulations. The FPA Board has approved these updated Disciplinary Regulations and these will come into effect from 1 January 2019. The updated Disciplinary Regulations will be published once they come into effect.

The review of the Disciplinary Regulations was conducted by independent solicitor and CRC Deputy Chair, Dale Boucher. The review looked at the process and governance of the regulations, including issues of confidentiality and publication provisions of complaint matters and determinations. A report on the review is available here.

Please contact [email protected] if you have any questions.

Determinations & Sanctions

View the published determinations and sanctions imposed on FPA members by the Conduct Review Commission (CRC) following a breach of the FPA Code of Professional Practice.