Rules that Relate to the Principle of Objectivity

Rule 1.4

A certificant shall at all times place the interest of the client ahead of his or her own. When the certificant provides financial planning or material elements of the financial planning process, the certificant owes to the client the duty of care of a fiduciary as defined by CFP Board.

Rule 4.6

A certificant shall provide reasonable and prudent professional supervision or direction to any subordinate or third party to whom the certificant assigns responsibility for any client services.

 

Rule 1.4

A certificant shall at all times place the interest of the client ahead of his or her own. When the certificant provides financial planning or material elements of the financial planning process, the certificant owes to the client the duty of care of a fiduciary as defined by CFP Board.

Rules that Relate to the Principle of Competence

Rule 6.2

A certificant shall meet all CFP Board requirements, including continuing education requirements, to retain the right to use the CFP® marks.

Rule 4.1

A certificant shall treat prospective clients and clients fairly and provide professional services with integrity and objectivity.

 

Part 2 - Rules Relating to the Principle of Fairness

Related Articles
  1. Financial Advisor

    Why Financial Advisors Need To Earn The CFP Mark

    The CFP designation is heavily favored by both the finanical and the mainstream media and offers a wealth of benefits for certificants.
  2. 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.
  3. 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.
  4. Personal Finance

    The CFP Board’s Proposed Changes Explained

    The CFP Board has released proposed revisions to its standards of professional conduct.
  5. Tech

    How the New Fiduciary Rule Will Impact Investors

    The DOL's new fiduciary rule is now in effect. Here are a few areas where individual investors, including clients and prospects, might notice some change.
  6. Financial Advisor

    How Advisors Can Win with the New Fiduciary Rule

    Advisors would be wise to use the change in fiduciary rules to educate clients on the value of the advice they provide. Here are some tips.
  7. Financial Advisor

    How SEC and DOL Fiduciary Standards Could Differ

    SEC fiduciary standards could differ from what the DOL has proposed, causing more confusion about the impact of the rule.
  8. Insights

    How the New Department of Labor Rule Impacts You

    There are both positives and negatives to the new DOL rule regarding fiduciary responsibility.
  9. Financial Advisor

    Why the Fiduciary Rule is Good for All Investors

    The new fiduciary standard should help lower what middle- and lower-income investors pay, on average, to brokers for retirement planning advice.
  10. Financial Advisor

    The Fiduciary Rule and Life Insurance: Use Caution

    The rules pertaining to life insurance under the DOL's fiduciary rule remain murky.
Frequently Asked Questions
  1. Where do most fund managers get their market information?

    Many fund managers, whether they manage a mutual fund, trust fund, pension or hedge fund, have access to resources that the ...
  2. What's the difference between short-term investments and marketable securities?

    Understand the difference between short-term investments and marketable equity securities, and learn the importance of short-term ...
  3. Are fringe benefits direct or indirect costs?

    Learn how to allocate costs associated with fringe benefits provided to employees and how to determine when a cost is either ...
  4. How is a bank guarantee different from a traditional loan?

    Read about the differences between a traditional bank loan and a bank guarantee, and why a third party might require a guarantee ...
Trading Center