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View the Duty to Report and Cooperate

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This document provides guidance on a CFP® professional’s Duty to Report information to CFP Board and Duty to Cooperate with CFP Board investigations under CFP Board’s new Code of Ethics and Standards of Conduct. These duties are critical features of CFP® certification that enable CFP Board to uphold the high standards of competency and ethics set forth in the Code and Standards and maintain the integrity of the CFP® certification marks.

As outlined in the Duty to Report, CFP® professionals who need to report a disclosable event to CFP Board can use the self-reporting form.

Self-Reporting Form for CFP® Professionals

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