Case Studies Applying the New Code and Standards

For CFP® Professionals


Case Studies Applying the New Code and Standards




Case Studies Applying the New Code and StandardsCFP Board developed these case studies to provide practical guidance to CFP® professionals and their firms on the new Code of Ethics and Standards of Conduct, which becomes effective on October 1, 2019.  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 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 and other case studies to guide CFP® professionals in their application of the Code and Standards to their own practice.

CFP Board encourages all CFP® professionals to read the Code and Standards prior to its effective date.

Center For Financial Planning | Logo | Gold

The Center's focus includes workforce development, diversity, and the profession's body of knowledge.

Learn More

Reach New Clients

CFP Board’s “Find a CFP® Professional” online search tool can help you connect with Americans seeking professional financial planning services.

Update Your Profile Today


More than 1,000 CE Sponsors have registered with CFP Board to provide continuing education.

Find CE Opportunities