Compliance Resources - CFP Board

For CFP® Professionals

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Compliance Resources

CFP BOARD ADOPTS NEW CODE OF ETHICS AND STANDARDS OF CONDUCT

The new Code and Standards takes effect Oct. 1, 2019, and includes a range of important changes, including expanding the scope of the fiduciary standard that requires CFP® professionals to act in the best interest of the client at all times when providing financial advice.  Learn More

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)

View Recorded Webinars on the Standards

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

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