Checklist
Financial Advice Engagements Compliance Checklist
Read the Full Financial Advice Engagements Compliance Guide
Explore the Roadmap to the Code and Standards CFP Board has drafted a checklist version of its Financial Advice Engagements Compliance Guide designed to help CFP® professionals evaluate whether they are providing information and services in accordance with CFP Board’s Code of Ethics and Standards of Conduct when they are providing Financial Advice. Under certain circumstances, a CFP® professional is required to update the information provided to a Client.
Download the Financial Advice Engagements Checklist
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.