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CFP Board’s Code of Ethics and Standards of Conduct (“Code and Standards”), provides detailed requirements regarding the Duties Owed to Clients. Watch this video for an overview of the Duty of Loyalty:

A CFP® professional must place the interests of the client above the interests of the CFP® professional and the CFP® professional’s firm. A CFP® professional also must avoid conflicts of interest, or fully disclose material conflicts of interest to the client, obtain the client’s informed consent, and manage the conflict.

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This compliance resource is part of a full library of resources that CFP® professionals can use to comply with the Code and Standards. More guidance materials can be found in our Compliance Resources Library.

Browse the Compliance Resources Library