Compliance Checklist

For CFP® Professionals

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Compliance Checklist

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

NOT FOR USE WITH CFP BOARD'S NEW CODE OF ETHICS AND STANDARDS OF CONDUCT

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)

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