Complaint Procedures
The following information is being provided in an effort to assist the public in
becoming acquainted with CExP™ Board’s investigation and complaint procedures while
encouraging Certified Exit Planner professionals to maintain high ethical standards.
These procedures provide for a thorough review and a decision as to whether there
has been a violation of CExP™ Board’s Code of Ethics and Professional Responsibility.
A charge against the conduct, actions or recommendations of a Certified Exit Planner
professional is a matter that CExP™ Board takes seriously. Accordingly, if you feel
that the Code of Ethics and Professional Responsibility has been violated you should
not hesitate to begin the grievance procedure against a Certified Exit Planner professional.
The Board of Directors of this organization provides for a Disciplinary and Ethics
Commission that determines whether allegations are justified and whether the unethical
conduct warrants disciplinary action. There is no cost to you.
Because one of the functions of CExP™ Board is the evaluation of grievances, please
be assured that your grievance will be investigated vigorously and impartially.
Ethics and Discipline
When authorized to use the CExP™ certification mark, a Certified Exit Planner professional
agrees to abide by the Code of Ethics and Professional Responsibility and to comply
with the philosophy and mission of CExP Board.
A grievance filed against a designee must be considered very carefully since it
could negatively affect a certificant's career, reputation and ability to earn a
living. Thus, it takes more than a claim of misconduct to justify disciplinary action.
Proof of misconduct must be established by a preponderance of the evidence.
A grievance should relate to unethical conduct -- a violation of CExP™ Board’s Code
of Ethics and Professional Responsibility -- that can be proven by evidence. An
honest disagreement about how a matter should or should not have been handled would
not normally constitute unethical conduct. An error in judgment is not necessarily
unethical conduct. Certified Exit Planning professionals, as any other professionals,
may not always give the perfect response to a given set of circumstances.
For instance, disagreements about fees do not necessarily constitute unethical conduct.
The length of time it may take to respond to a client with a completed plan do not
necessarily constitute unethical conduct.
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ALI-ABA
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Over half of the 9.5 million business owners are reaching
retirement age so the need for trained Exit Planning Advisors has never been so
great.
Are you prepared to guide these business owners through
the biggest financial event of their lives?
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