Complaints Against the Institute's Certified Professionals.
The Institute requires its members and certified professionals to maintain high ethical standards. The Investments & Wealth Institute (Institute) has adopted a Code of Professional Responsibility (Code), Disciplinary Rules and Procedures (Rules), and/or other standards which set forth the standards of conduct that the Institute requires of its Licensees, Applicants, Candidates, and Members. The Rules also set forth a fair and objective disciplinary process ensuring that those who are respondents in the disciplinary process are afforded due process.
Anyone can submit a confidential complaint against an Institute designee if you feel that such designee has violated the Code or Rules.
As stated in the Rules, the Institute’s Board of Directors has appointed volunteers to serve on its Professional Review Board, which is a peer review board charged with implementing enforcement procedures for the Code.