Index of Checklists, Guides, and Documents
CFP Board presents these Checklists, Guides, and Documents to provide practical guidance to CFP® professionals and their firms on the Code of Ethics and Standards of Conduct ("Code and Standards").
Each Checklist, Guide, and Document provides guidance on a discrete topic of interest under the Code and Standards. CFP Board intends for these Checklists, Guides, and Documents to help CFP® professionals in applying the Code and Standards to their own practice. Many of these Checklists, Guides, and Documents can be used in day-to-day interactions with clients to help CFP® professionals remain in compliance with the Code and Standards.
- Financial Advice Engagements Compliance Checklist
- Financial Planning Engagements Compliance Checklist
- Financial Advice Engagements Compliance Guide
- Financial Planning Engagements Compliance Guide
- Duty to Report Information to CFP Board and Duty to Cooperate with CFP Board Investigations
- Notice Regarding Bankruptcy Standard and Procedures
- Duties of a CFP® Professional Working in a Call Center
- Comparing CFP Board's Code and Standards with the SEC's Reg BI
- Implications of the Code and Standards for "Fee-Only" CFP® Professionals
- Code of Ethics and Standards of Conduct
- Brochure: Highlights of CFP Board's New Code of Ethics and Standards of Conduct
- Poster: CFP Board's Code of Ethics
- Previous Standards of Professional Conduct
- Commentary on the New Code of Ethics and Standards of Conduct
- Redline Showing Technical Revisions to New Code of Ethics and Standards of Conduct
- Side-by-Side Comparison of the Code of Ethics and Standards of Conduct to the Standards of Professional Conduct
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.