Enhancing the professionalism of financial advisors in the best interests of the consumer

Advocis Code of Professional Conduct (CPC)

Order your framed
Code of Professional Conduct today.

The Advocis 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.

Explanatory notes are available that provide a more in-depth explanation of each principle within the Advocis Code of Professional Conduct (CPC).

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/Institute Disciplinary Procedures

An important function for Advocis and The 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 Institute have in place written procedures that are followed where a member's professional conduct is in question. The Advocis/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 are found to be unbecoming of the Advocis/Institute Code of Professional Conduct.

get Adobe ReaderThe above documents are PDF files. You will need Adobe Reader to view them. This software can be downloaded free of charge from Adobe's website.