CFP Board Releases New Ethical Guides For Financial Planners

Posted on March 18th, 2022 at 1:39 PM
CFP Board Releases New Ethical Guides For Financial Planners

From the Desk of Jim Eccleston at Eccleston Law:

The Certified Financial Planner Board of Standards (CFP Board) has recently issued three new guides to assist certified financial planners in adhering to professional ethics standards in their practices.


Specifically, each guide discusses specific elements of the Board’s Code and Standards while additionally addressing how CFPs can meet their ethical obligations. The guides focus on topics such as satisfying the duty of care when providing financial advice as well as supervising material conflicts of interest.


The three new guides are titled: The Guide to Satisfying the Duty of Care When Providing Financial Advice That Does Not Require Financial Planning; The Guide to the 7-Step Financial Planning Process: A Case Study Illustration for Solo Practitioners; and The Guide to Managing Material Conflicts of Interest.


Eccleston Law LLC represents investors and financial advisors nationwide in securities, employment, regulatory and disciplinary matters.

 
 
 

Tags: eccleston law, cfp, financial planning

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