Code Of Ethics

Question 1

Obligations of a CFP®️ professional under the code of ethics

Answer 1

1. Act with honesty, integrity, competence and diligence
2. Act in the client’s best interests
3. Exercise due care
4. Avoid or disclose and manage conflicts of interest
5. Maintain the confidentiality and protect the privacy of client information
6. Act in a manner that reflects positively on the financial planning profession and CFP®️ certification

Question 2

Duties of a fiduciary

Answer 2

The duty of/to loyalty, care, follow client instructions, diligence, disclose and manage conflict of interest, sound and object to professional judgment, professionalism, comply with the law, confidential and privacy, provide information to a client, fairly represented the method of compensation (no hidden fees of commissions)