Rule 3.1

A certificant shall treat information as confidential except as required in response to proper legal process; as necessitated by obligations to a certificant’s employer or partners; to defend against charges of wrongdoing; in connection with a civil dispute; or as needed to perform the services.

Rule 3.2

A certificant shall take prudent steps to protect the security of information and property, including the security of stored information, whether physically or electronically, that is within the certificant’s control.

Rule 5.1

A certificant who is an employee/agent shall perform professional services with dedication to the lawful objectives of the employer/principal and in accordance with CFP Board’s Code of Ethics.

Rule 3.1

A certificant shall treat information as confidential except as required in response to proper legal process; as necessitated by obligations to a certificant’s employer or partners; to defend against charges of wrongdoing; in connection with a civil dispute; or as needed to perform the services.

Rule 5.1

A certificant who is an employee/agent shall perform professional services with dedication to the lawful objectives of the employer/principal and in accordance with CFP Board’s Code of Ethics.

 



Part 2 - Rules Relating to the Principle of Professionalism

Related Articles
  1. Financial Advisor

    The Basics Of CFP Designation Maintenance

    The workload doesn't end with your exam. Find out how to keep up your CFP credential.
  2. Personal Finance

    Seeking a Financial Advisor? You Probably Need a CFP

    In the financial world, the certified financial planner has come to represent a distinguished mark of training and ethics for those seeking an advisor.
  3. Financial Advisor

    The CFP Board: Its Role and Mission

    The Certified Financial Planner Board of Standards promotes standards and ethics in financial planning and enforces CFP certification requirements.
  4. Investing

    Why Did Snap Inc. File For A Confidential IPO?

    Confidential IPOs have become a favorite tool for startups to test the waters for an IPO without involving media scrutiny.
  5. Small Business

    What is a Code of Ethics?

    A code of ethics is a collection of principles and guidelines an organization expects its employees to follow.
  6. Financial Advisor

    Hiring a Financial Advisor? Look for the CFP Label

    Don’t skimp on the CFP designation. Here's why those three letters show that someone is qualified in financial and investment planning.
  7. Financial Advisor

    What Advisors Need to Know About Rule 3210

    Here's what advisors and brokers need to know about FINRA Rule 3210.
  8. Trading

    Defining Illegal Insider Trading

    The better you understand why insider trading can be criminal, the better you'll understand how the market works.
  9. Financial Advisor

    Ready for the Fiduciary Rule? You Should Be

    Despite the opposition it faces, advisors should still plan to comply with the fiduciary rule. Here's why.
  10. Financial Advisor

    The Top 3 Financial Advisor Credentials

    An overview of the top three credentials for financial advisors and what they require.
Frequently Asked Questions
  1. What is the difference between comparative advantage and absolute advantage?

    Whereas absolute advantage refers to the superior production capabilities of one nation versus another, comparative advantage ...
  2. What Factors Cause Shifts in Aggregate Demand?

    Find out how aggregate demand is calculated in macroeconomic models. See what kinds of factors can cause the aggregate demand ...
  3. What is the difference between an income statement and a balance sheet?

    The balance sheet illustrates a company’s book value, and the income statement shows how assets and liabilities are used.
  4. What is the Difference Between a Forward Rate and a Spot Rate?

    The forward rate is the settlement price of a forward contract, while the spot rate is the settlement price of a spot contract.
Trading Center