Estate Planning Cfp Board Ethics

Front 1

Core Objectives of the CFP Board

Back 1

(1) Competency
(2) Professional Standards & Enforcement
(3) Public Advocacy
(4) Communications & Outreach
(5) Sustainability

Front 2

Rules of Conduct Sections

Back 2

(1) Defining the Relationship with the Prospective Client or Client
(2) Information Disclosed to Prospective Clients and Clients
(3) Prospective Client and Client Information and Property
(4) Obligation to Prospective Clients and Clients
(5) Obligations to Employers
(6) Obligations of the CFP Board

Front 3

Principles of the Code of Ethics

Back 3

Integrity, Objectivity, Competence, Fairness, Confidentiality, Professionalism, and Diligence

Front 4

Grounds for Discipline under the CFP Code of Ethics

Back 4

(1) Any act or omission that violates the provisions of the Code of Ethics
(2) Any act or omission that fails to comply to the Practice Standards
(3) Any act or omission that violates criminal laws
(4) Any act or omission that violates the Disciplinary Rules & Procedures
(5) Failure to respond to a request by the Disciplinary and Ethics Commission without good cause
(6) Obstruction of the Disciplinary and Ethics Commission's performance of its duties
(7) Any false or misleading statement made to the CFP Board

Front 5

Forms of Discipline

Back 5

Private written censure, public letter of admonition, suspension of the right to use the CFP marks for a time period not to exceed 5 years, permanent revocation of the right to use the CFP marks

Front 6

Disciplinary Process and Procdeures

Back 6

(1) Request for Investigation
(2) Investigation
(3) Probable Cause Determination
(4) Hearing Panel
(5) Disciplinary and Ethics Commission
(6) Appeals Committee