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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.

Case Studies

  • Interpreting the Practice Standard for Identifying and Selecting Goals
  • Interpreting the Practice Standard for Implementing the Financial Planning Recommendation(s)
  • Interpreting the Practice Standard for Monitoring Progress
Duties Owed to Clients
Financial Planning and Application of the Practice Standards Practice Standards for the Financial Planning Process
  • Interpreting the Practice Standard for Identifying and Selecting Goals
  • Interpreting the Practice Standard for Implementing the Financial Planning Recommendation(s)
  • Interpreting the Practice Standard for Monitoring Progress

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