CFP

AAA

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
comments powered by Disqus
Related Articles
  1. 7 Ways To Protect Against Credit Card ...
    Credit & Loans

    7 Ways To Protect Against Credit Card ...

  2. New 2015 Contribution Limits: Advisors ...
    Investing Basics

    New 2015 Contribution Limits: Advisors ...

  3. The Fear And Greed Cycle Lives On
    Markets

    The Fear And Greed Cycle Lives On

  4. Credit Card Breach: How To Stay Safe
    Credit & Loans

    Credit Card Breach: How To Stay Safe

  5. Six Things Bad Financial Advisors Do
    Investing Basics

    Six Things Bad Financial Advisors Do

Trading Center