For CFP® Professionals

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Multimedia Presentations

In 2009, CFP Board assembled a Business Model Working Group to discuss the application of CFP Board’s Standards to specific situations and business models. This Working Group, comprised of representatives of nearly two dozen financial service firms that employ or contract with CFP® professionals, identified specific scenarios where additional guidance from CFP Board would be helpful. Following the Working Group’s discussions, CFP Board has developed the following multimedia presentations to assist CFP® professionals in understanding and complying with CFP Board’s Standards.

Scenario SS 1: Understanding the Definition of Financial Planning and Material Elements of Financial Planning: Advice in a Single Subject Area

Sometimes CFP® professionals provide service to clients in a single subject area. Scenario SS1 describes an estate planning engagement that does not involve financial planning or material elements of financial planning.
 
 View the Scenario SS1 presentation

Scenario SS 3: Understanding the Definition of Financial Planning and Material Elements of Financial Planning: Advice in a Single Subject Area

Sometimes CFP® professionals provide service as a resource to help clients in a single subject area. Scenario SS3 describes an employee benefits situation that does not involve financial planning or material elements of financial planning.
 
 View the Scenario SS3 presentation

Scenario RIA 2: Understanding CFP Board's Standards of Professional Conduct: RIA Disclosure

Many CFP® professionals provide financial planning as part of a team. Scenario RIA 2 describes one such situation that involves a registered investment advisory firm of a large broker-dealer. The broker-dealer’s fiduciary duty has defined timeframes but the CFP® professional's fiduciary duty under CFP Board’s Standards of Professional Conduct is ongoing.
 
 View the Scenario RIA2 presentation

Scenario TOD 1: Understanding CFP Board's Standards of Professional Conduct: Timing of Disclosures

Many CFP® professionals have questions about the disclosure requirements contained in CFP Board’s Standards of Professional Conduct. Scenario TOD 1 looks at what CFP® professionals should disclose to clients, how to make the disclosures and when. 
 
 View the Scenario TOD1 presentation

Scenario TE 1: Understanding CFP Board's Standards of Professional Conduct: Working in a Team Environment

Many CFP® professionals provide services using a team approach. The degree to which CFP® professionals interact with clients varies. Scenario TE1 illustrates a situation where a CFP® certificant provides financial planning support to a non-certificant as part of a team.
 
 View the Scenario TE1 presentation

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