Financial Planning: Process and Rules - Part 2 - Rules Relating to the Principle of Confidentiality

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

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