CFP Board's Ethical Standards and Disciplinary Procedures

When you work with a CERTIFIED FINANCIAL PLANNER™ professional, you should expect to receive services that are conducted ethically, with integrity, objectivity, honesty and diligence. You deserve to have your interests placed ahead of the interests of your financial planner.

Those who have attained the CERTIFIED FINANCIAL PLANNER™ certification agree to abide by these and other high ethical standards, which are contained in CFP Boards Code of Ethics and Professional Responsibility, Rules of Conduct and Financial Planning Practice Standards.

CFP Board takes seriously its obligation to enforce those standards and has established disciplinary procedures that provide a rigorous and fair process for investigating questionable matters and imposing discipline where appropriate.

This presentation provides an overview of CFP Boards ethical standards and disciplinary procedures.

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CFP Board's Financial Planning Clinics

CFP Board’s free Financial Planning Clinics have provided thousands of Americans with the opportunity to consult with volunteer CERTIFIED FINANCIAL PLANNER™ professionals about their personal finance questions and concerns and to attend Educational Workshops on diverse and popular financial topics, presented by leading experts in personal finance. Clinic attendees have come away with personalized information and advice on a wide range of topics, ranging from general financial planning to investment and insurance planning to retirement and estate planning. Best of all, the events are free, with no selling and no strings attached!

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What Is a CERTIFIED FINANCIAL PLANNER™ Professional?

This profile of the CFP® certification from American Business Review will introduce you to financial planning and the qualifications held by financial planners who hold CERTIFIED FINANCIAL PLANNER™ certification. See what industry insiders have to say about what sets these financial planners apart and why it's important to check a planner's disciplinary history.

To view the six-minute video clip, choose from one of the download options. In order to view the video clip, you must have Windows Media Player installed on your computer.