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◆ Compliance

The Code of Professional Conduct

Every CSLP® designee agrees to our Code of Professional Conduct on certification and reaffirms it at each annual renewal. The Institute investigates and adjudicates complaints about advisors using the designation.

The complaint process

Four steps, with a real hearing

  1. A complaint is submittedThrough the Institute's support system.
  2. The Institute reviews itFor jurisdiction and substance.
  3. Evidentiary hearing where warrantedThe Disciplinary Committee hears the matter by web conference. The advisor may be represented by counsel, cross-examine witnesses and present evidence.
  4. Findings of Fact and sanctionIssued by the Committee, up to revocation of the designation.

File a complaint

Verify before publish: these steps are my summary of the current legal text. This is the one page I would not want going live unreviewed.
Also part of the standard

Requirements that stay in force after certification

Active licensingThe designation may only be held by professionals holding an active financial credential or registration.
Annual renewalA renewal exam, updated coursework, and reaffirmation of the Code every year.
Correct use of the markThe CSLP® mark may not be used by lapsed designees or implied to be a government endorsement.

A credential with consequences.

That is the difference between a standard and a certificate.

See the certification requirements