Compliance Resources - CFP Board

For CFP® Professionals


Compliance Resources

CFP Board has developed a variety of resources to assist CFP® professionals understand and meet their obligations under CFP Board’s Standards of Professional Conduct ("Standards"), which set forth the ethical standards for CFP® professionals. CFP Board's active enforcement of the ethical standards for CFP® certificants is one of the key elements that distinguishes the CFP® certification from other financial credentials, and CFP Board is committed to maintaining a disciplinary process that is fair to the certificants whose conduct comes under scrutiny and one that is credible to the public.

Read Frequently Asked Questions on the Standards

Download a Reference Guide to the Practice Standards (PDF, 68KB)

Download Notice to CFP® Professionals: Importance of Accurate Compensation Disclosures (PDF, 57KB)

Download Frequently Asked Questions on the Standards (PDF, 314KB)

Read an Advisory Opinion on Conflicts of Interest (PDF, 75KB)
CFP Board Disclosure Guide

Learn about Sample Disclosure Forms to assist in complying with the Standards

Standards of Professional Conduct Compliance Checklist

Sample Financial Planning Engagement Letter (Word document, 24KB)

Learn about Recent and Upcoming Webinars on the Standards

Watch Multimedia Presentations on Key Aspects of the Standards

Download a Diagram of CFP Board’s Disciplinary Process (PDF, 132KB)

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