Advocis members adhere to the highest standards of professionalism and abide by a strict Code of Professional Conduct. Allegations of unprofessional conduct are investigated utilizing a disciplinary process based upon peer review principles.

Advocis/CLU Institute Code of Professional Conduct (CPC)
The Advocis/CLU Institute Code of Professional Conduct (CPC) sets out a list of principles that an Advocis Member is expected to abide by in his or her business activities and in his or her liaison between clients and suppliers of insurance, and/or financial products or services.

Request for Investigation (RFI) Standard Form
Any person may file a Request for Investigation (RFI) against an Advocis member. A submission in writing must be received in order to initiate Advocis’ disciplinary procedures. Any person seeking to file a Request for Investigation may do so by completing the standard RFI form or by submitting a formal letter outlining the dispute or matter at hand.

Advocis/CLU Institute Disciplinary Procedures
An important function for Advocis and the CLU Institute is the self-disciplinary role necessary to ensure that an Advocis Member conducts his or her actions in accordance with the Code of Professional Conduct. Advocis and the CLU Institute have in place written procedures that are followed where a member's professional conduct is in question. The Advocis/CLU Institute Disciplinary Procedures are based on a peer review system, carried out by members of the Association. The Disciplinary Procedures are in place to provide a consistent and transparent process for determining the facts and imposing sanctions for conduct that is found to be unbecoming of the Advocis/CLU Code of Professional Conduct.

Overview of Recent Disciplinary Matters
Advocis reserves the right to post public and private disciplinary matters, in FORUM magazine and on the Advocis website. Click here to view Disciplinary Proceedings 2008 Report.