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.

Checklists

• Financial Advice Engagements Compliance Checklist
• Financial Planning Engagements Compliance Checklist
• Financial Advice Engagements Compliance Guide
• Financial Planning Engagements Compliance Guide

Guides

• Roadmap to the Code and Standards
• Duty of Care Guide
• Guide to Managing Conflicts
• Guide to the Financial Planning Process
• Financial Advice Engagements Disclosure Guide
• Financial Planning Engagements Disclosure Guide
• Practice Standards Reference 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

Documents

• 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