Complaints About Members and the IAFP's Adjudication Process

The Institute of Advanced Financial Planners is a self-regulating organization (SRO). As such, it strives to monitor its members’ activities, with a view to maintaining the highest standards of professionalism.

The IAFP welcomes any expressions of concern about a member’s activities. If requested, we will strive to assist complainants in resolving issues with members. If deemed necessary, we will investigate alleged member misconduct to the full extent, leading to possible disciplinary action or expulsion from the IAFP.

Usually, the best first step if you have a concern is to contact the IAFP directly (toll-free) at 1-888-298-3292. Ask to speak with the Executive Director.

When you are ready to request a formal IAFP Inquiry process, you will need to fill out a type of “complaint form”. Complete it to the best of your abililty, attach relevant documents, and forward it to the IAFP Executive Director. To obtain the form you can either:

• download the Request for Inquiry form in the box to the right, OR
• phone us toll-free at 1-888-298-3292 and ask us to fax or mail the form to you.

IAFP Members may obtain further information on the Procedure for Adjudication of an Allegation of Unprofessional Conduct of a Member and Disciplinary Action by accessing the Members’ Site.

Last updated: 27 Aug 2010 4:19 PM