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Index of Videos on the Code and Standards

CFP Board has created a variety of videos that CFP® professionals may watch to understand and comply with the Code of Ethics and Standards of Conduct ("Code and Standards").  These videos review a CFP® professional's duties under the Code and Standards as well as apply the Code and Standards to real world situations.

  Last Updated:

November 10, 2020

Case Study Videos Applying the Code and Standards

CFP Board presents case study videos to provide practical guidance to CFP® professionals and their firms on the Code of Ethics and Standards of Conduct ("Code and Standards"), effective October 1, 2019 with an enforcement date of June 30, 2020..

Test Your Knowledge about Applying the Code and Standards
Use Case Studies to apply your knowledge of the Code of Ethics and Standards of Conduct to real world situations.
Explore the Case Studies

Each video illustrates a case study presenting a hypothetical factual circumstance then asking a question about a CFP® professional’s duty in that circumstance under the Code and Standards. The video then reviews 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 quick videos to guide CFP® professionals in applying the Code and Standards to their own practice.

Below is a list of the case study videos by topic:

Conflicts of Interest

Fiduciary Duty

Working in Teams

Videos on the Code and Standards

  • Summary of the New Code and Standards: Get a summary of a CFP® professional's duties under the new Code and Standards.
  • The Levels of Rules and Requirements: Get an overview of the levels of rules and requirements for CFP® professionals under the new Code and Standards.
  • The Fiduciary Obligation: Learn about the expanded fiduciary obligation at the core of the new Code and Standards, which requires CFP® professionals to act in the best interest of the client.
  • Duty of Loyalty: Explore the importance of Duty of Loyalty under the new Code and Standards.
  • Financial Advice: See how financial advice is defined under the new Code and Standards.
  • What Is Financial Planning?: Review the definition of financial planning and get up-to-speed on the 3 circumstances where a CFP® professional is required to provide financial planning advice.
  • Integration Factors: Find out the 5 factors to consider when a CFP® professional who is providing financial advice must also provide financial planning.
READ MORE ABOUT THE CODE AND STANDARDS IN CFP BOARD'S FOCUS ON ETHICS ARTICLE SERIES
Access Focus on Ethics Article Index          

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