Certified Financial Planner Board of Standards

Code of Ethics & Professional Responsibility

  1. Integrity: A CFP® designee shall offer and provide professional services with integrity.
  2. Objectivity: A CFP® designee shall be objective in providing professional services to clients.
  3. Competence: A CFP® designee shall provide services to clients competently and maintain the necessary knowledge and skill to continue to do so in those areas in which the designee is engaged.
  4. Fairness: A CFP® designee shall perform professional services in a manner that is fair and reasonable to clients, principals, partners, and employers and shall disclose conflicts(s) of interest(s) in providing such services.
  5. Confidentiality: A CFP® designee shall not disclose any confidential client information without the specific consent of the client unless in response to proper legal process, to defend against charges of wrongdoing by the CFP designee or in connection with a civil dispute between the CFP designee and client.
  6. Professionalism: A CFP® designee’s conduct in all matters shall reflect credit upon the profession.
  7. Diligence: A CFP® designee shall act diligently in providing professional services.

Excerpted from Code of Ethics and Professional Responsibility © Copyright 1986, Certified Financial Planner Board of Standards, Inc.  All rights reserved.  Used with permission.