Financial Planning: Process and Rules - Ethics and Disciplinary Rules

The Certified Financial Planner Board of Standards has established a Code of Ethics and Professional Responsibility and a related Disciplinary Rules and Procedures that apply to all CFP Board designees. The Code of Ethics sets standards of ethical and professional behavior, while the Disciplinary Rules and Procedures are used to enforce the code. The Terminology, the Code of Ethics and Professional Responsibility and the Rules of Conduct were all last updated in 2008. The rules for disciplinary action and the appeals process were updated in January of 2013.

References:

Comparison of Updated and Previous Standards of Professional Conduct

Side-by-Side Comparison of Terminology (PDF, 50KB)

Side-by-Side Comparison of Principles (PDF, 46KB)

Side-by-Side Comparison of Rules (PDF, 84KB)

Side-by-Side Comparison of Financial Planning Practice Standards and Rules (PDF, 47KB)

See more at: http://www.cfp.net/for-cfp-professionals/professional-standards-enforcement/previous-standards-of-professional-conduct#sthash.gisBbM9N.dpuf

Code of Ethics and Professional Responsibility

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