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CFP Board’s Code of Ethics and Standards of Conduct (“Code and Standards”), provides detailed requirements for the Financial Planning process, and discusses the four options available to CFP® professionals when the client does not agree to engage the CFP® professional to provide Financial Planning. Watch this video for an overview of the four options:

  • Not enter into the Engagement
  • Limit the Scope of the Engagement
  • Provide the requested services after informing the client how Financial Planning would benefit the client
  • Terminate the Engagement


Access More Guidance Materials

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