Financial Advice Engagements Compliance Checklist
CFP Board has drafted a checklist version of its Financial Advice Engagements Compliance Guide designed to help CFP® professionals evaluate whether they are providing information and services in accordance with CFP Board’s Code of Ethics and Standards of Conduct when they are providing Financial Advice. Under certain circumstances, a CFP® professional is required to update the information provided to a Client.
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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.