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CFP Board has developed case studies to provide practical guidance to CFP® professionals and their firms on the new Code of Ethics and Standards of Conduct ("Code and Standards"), effective October 1, 2019.

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Each case study presents a hypothetical factual circumstance and then asks a question about a CFP® professional’s duty in that circumstance under the Code and Standards. The case study then presents the response options, identifies the best response, and then discusses the rationale for why that response is the best and why the other response options are not the best. CFP Board intends for these case studies to guide CFP® professionals in their application of the Code and Standards to their own practice.

Below is a list of the case studies by topic:

Conflicts of Interest

FIDUCIARY DUTY

Recommending, engaging, and working with other persons

representation of compensation method

What is Financial Advice?

WHEN IS FINANCIAL PLANNING REQUIRED?

WORKING IN TEAMS

Access More Guidance Materials

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.

Browse the Compliance Resources Library