Checklist
Financial Advice Engagements Compliance Checklist
CFP Board designed this checklist 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 (“Code and Standards”) when they are providing Financial Advice. This easy-to-use checklist, which originally appeared in the Roadmap to the Code and Standards, allows CFP® professional's to track their obligations to a client as set forth in the Code and Standards and identify when those obligations have been met.
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.