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CFP Board Issues Compliance Checklist for Standards of Professional Conduct

It is no secret that the CFP Board has placed greater and greater emphasis on the Standards of Professional Conduct required of certified financial planners. Evidence of this can be seen in the most recent national Board exams, where greater emphasis has been given to testing knowledge and compliance of these standards.

To assist CFP® professionals in complying with these standards, the CFP Board has published a Standards of Professional Conduct compliance checklist. This tool helps CFP® practitioners maintain compliance through documentation of client interactions and proper disclosure.