Professional Conduct

Question 1

Code of Ethics (6)

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

Standards of Conduct

Answer 2

1. Duties Owed to Clients
2. Financial Planning and Application of the practice standards for the FP process
3. Practice standards for the FP process
4. Duties owed to firms and subordinates
5. Duties owed to the CFP board

Question 3

Duties Owed to Clients

(Standards of Conduct)