CFP

6.1 Commencement
Proceedings involving potential ethics violations shall be commenced upon a written request for investigation made by any person, which shall be directed to the Board or commenced at the behest of CFP Board Staff Counsel. Proceedings involving Practice Standards nonconformance shall be commenced upon a written request for investigation made by any person(s) who have a contractual relationship with the CFP Board designee whose practices are being called into question or by a CFP® certificant, or at the behest of CFP Board Staff Counsel. In either situation, the Board may, in making a determination of whether to proceed, make such inquiry regarding the underlying facts as they deem appropriate.

6.2 Procedures for Investigation
Upon receipt of a request for investigation containing allegations which, if true, could give rise to a violation of the Code of Ethics, or upon the acquisition by CFP Board Staff Counsel of information which, if true, could give rise to a violation of the Code of Ethics, the CFP Board designee in question shall be given written notice by CFP Board Staff Counsel that the CFP Board designee is under investigation and of the general nature of the allegations asserted against the CFP Board designee. The CFP Board designee shall have thirty (30) calendar days from the date of notice of the investigation to file a written Response to the allegations with the Board.

(a) No Response. At the expiration of the thirty (30) calendar-day period, if no Response has been received, the matter shall be referred to a Hearing Panel.
(b) Response. Upon receipt of a Response, CFP Board Staff Counsel shall compile all documents and materials and commence probable cause determination procedures as soon thereafter as is reasonably practicable.

6.3 Probable Cause Determination Procedures
CFP Board Staff Counsel shall determine if there is probable cause to believe grounds for discipline exist and shall either: (1) dismiss the allegations as not warranting further investigation at this time; (2) dismiss the allegations with a letter of caution recommending remedial action and/or entering other appropriate orders; or (3) begin preparation and processing of a Complaint against the CFP Board designee in accordance with Article 7. For matters that are dismissed, CFP Board Staff Counsel may reserve the right to reopen the investigation in the future if appropriate.

6.4 Disposition
CFP Board Staff Counsel shall conduct CFP Board's investigation as expeditiously as reasonably practicable.