Compliance Checklist

For CFP® Professionals


Compliance Checklist


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

This checklist is a tool to aid CFP® professionals in documenting client interactions and to ensure proper disclosure and compliance with CFP Board's Standards of Professional Conduct.

Download an electronic copy of the checklist below, or purchase pre-printed checklists from your online CFP Board account ($19.95 plus shipping for a packet of 25 checklists).

Standards of Professional Conduct Compliance Checklist (editable PDF; 903KB)

Recorded Webinar: CFP Board's New Compliance Checklist for Documenting Client Interactions

On September 27, 2012, CFP Board held a webinar to introduce the new Compliance Checklist designed to help CFP® professionals in documenting client interactions for both financial planning and non-financial planning engagements. During this webinar, Joseph V. Maugeri, CFP®, CFP Board's Director of Business Development, Adam Zajac, CFP Board's Adjudicatory Counsel, and Michael P. Shaw, CFP Board's Managing Director, Professional Standards & Legal, and Adam Zajac, CFP Board's Adjudicatory Counsel, addressed questions from the live webinar audience.

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