The Code of Professional Responsibility and Rules & Procedures

June 2023


I. Responsibility and Objectives of the Professional Ethics Committee

R1.1 — Objectives

The fundamental objectives of the Committee are to: (i) enforce the Code to ensure that all ABC Credential Holders are practicing in accordance with professional standards; and (ii) protect the public against unprofessional and unethical conduct by ABC Credential Holders.

R1.2 — Code and Rules

The Committee may review and analyze the Code and Rules and shall propose modifications to the Code and Rules for adoption by the ABC Board of Directors (Board).

R1.3 — Review of Complaints

The Committee is responsible for receiving, reviewing and, if appropriate, investigating all complaints that comply with Rule 4, regarding alleged violations of the Code (Complaint). The Committee’s investigation shall mean evaluating all relevant and non-redundant information provided to it by the complainant (Complainant), the ABC Credential Holder and/or, at the Committee’s sole and absolute discretion, verifiable third party sources.

R1.4 — Resolution of Complaints

The Committee shall resolve all Complaints including without limitation findings, conclusions and sanctions, if warranted.

R1.5 — Reports

Upon the Board’s request, the Committee shall deliver a summary report to the Board identifying the Committee’s activities.

R1.6 — Procedures

Subject to the review of the Board, the Committee may adopt procedures and safeguards governing the functions of the Committee to ensure that all ABC Credential Holders and the Committee are in full compliance with the Code and these Rules.

R1.7 — Time

The time periods set forth in these Rules are intended to provide guidance to the Committee, the Board and the relevant parties, and may be extended at the Committee or Board’s discretion depending on the circumstances of each proceeding. Failure of the Committee, the Board or any party to comply with the time periods shall in no event prevent the continuation or conclusion of a proceeding before the Committee or the Board.

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