General Principals - Ethics

Question 1

Code of Ethics:

Answer 1

A CFP® professional must:

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