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

    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

    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.
  4. 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.
  5. Financial Advisor

    DOL Fiduciary Rule: Everything You Need to Know

    The Department of Labor Fiduciary Rule is a new ruling that expands the “investment advice fiduciary” definition under the Employee Retirement Income Security Act of 1974 (ERISA).
  6. 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.
  7. Financial Advisor

    Why Consumers are Skeptical of Financial Advisors

    Advisors find themselves facing major obstacles when it comes to gaining their clients’ trust. Here's why.
  8. Personal Finance

    Is Your CFP a Fiduciary Advisor?

    Not all CFPs operate as fiduciaries. Here's how to tell the difference.
  9. Financial Advisor

    Planners: New DoL Rule Won't Require Much Change

    Financial experts are all atwitter about what to expect with the DoL's new fiduciary bill. As of now, here's what planners can expect to see with the bill.
  10. 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.
Frequently Asked Questions
  1. Depreciation Can Shield Taxes, Bolster Cash Flow

    Depreciation can be used as a tax-deductible expense to reduce tax costs, bolstering cash flow
  2. What schools did Warren Buffett attend on his way to getting his science and economics degrees?

    Learn how Warren Buffett became so successful through his attendance at multiple prestigious schools and his real-world experiences.
  3. How many attempts at each CFA exam is a candidate permitted?

    The CFA Institute allows an individual an unlimited amount of attempts at each examination.Although you can attempt the examination ...
  4. What's the average salary of a market research analyst?

    Learn about average stock market analyst salaries in the U.S. and different factors that affect salaries and overall levels ...
Trading Center