Case Study Applying the Code and Standards to a Rollover Recommendation
CFP Board provides short animated videos based on select Case Studies that apply the new Code and Standards to hypothetical factual circumstances.
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This video applies the Code of Ethics and Standards of Conduct’s fiduciary duty to a circumstance involving a rollover recommendation.
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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.