CFP Board Code of Ethics and Standards of Conduct

By the end of this program, the participant should be equipped to: LO 1: Understand the structure and content of the revised Code and Standards, including significant changes from prior rules. LO 2: Describe CFP Board’s Fiduciary Duty. LO 3: Identify Material Conflicts of Interest and How to Avoid, or Fully Disclose, Obtain Informed Consent, and Manage Them. LO 4: Understand the Duty to Report to CFP Board and the Duty to Cooperate. LO 5: Identify the Practice Standards When Providing Financial Advice that Requires Financial Planning or Financial Planning. LO 6: Understand the Duty to Provide Information to Clients When Providing Financial Planning and/or Financial Advice.