CFP Board’s Code of Ethics and Standards of Conduct (“Code and Standards”), provides detailed requirements for the Financial Planning process, including the factors that CFP Board will weigh in determining whether a CFP® professional has agreed to provide or provided Financial Advice that requires Financial Planning. Watch this video for an overview of the five factors.
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This compliance resource is part of a full library of resources that CFP® professionals can use to comply with the Code and Standards. More guidance materials can be found in our Compliance Resources Library.