Current Standards of Professional Conduct

For CFP® Professionals

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Current Standards of Professional Conduct

CFP Board’s Standards of Professional Conduct were revised in May 2007 and adopted with an effective date of July 1, 2008 and an enforcement date of January 1, 2009. These Standards remain in effect through September 30, 2019.

Review the Standards of Professional Conduct online

Download the Standards of Professional Conduct (PDF)

Effective Date: July 1, 2008
Enforcement Date: January 1, 2009

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. Resources include:

  • Answers to Frequently Asked Questions
  • Sample Disclosure Forms and Client Agreement Forms
  • Recorded Webinars

Review Compliance Resources from CFP Board


Enforcement 

CFP Board's rigorous enforcement of its Standards of Professional Conduct — including releasing disciplinary information to the public — distinguishes the CFP® certification from the many other designations in the financial services industry. Everyone who seeks CFP® certification is subject to a background check, and those whose past conduct falls short of CFP Board's ethical and practice standards can be barred from becoming certified. After attaining certification, a CFP® professional who violates CFP Board's ethical and practice standards becomes subject to disciplinary action up to the permanent revocation of certification. 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.

Learn about CFP Board's Enforcement Processes

Request for Comments on Proposed Procedural Rules: CFP Board is accepting comments on proposed Procedural Rules during a public comment period that ends Tuesday, January 29, 2019.  The proposed Procedural Rules will consolidate and replace the existing Disciplinary Rules and Procedures and Appeal Rules and ProceduresLearn more >

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