For CFP® Professionals

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Scenario RIA2

In 2009, CFP Board assembled a Business Model Working Group to discuss the application of CFP Board’s Standards of Professional Conduct 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.

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.

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