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CFP Board presents these case study videos to provide practical guidance to CFP® professionals and their firms on the Code of Ethics and Standards of Conduct ("Code and Standards"), effective October 1, 2019.

Test Your Knowledge about Applying the Code and Standards
Use these Case Studies to apply your knowledge of the Code of Ethics and Standards of Conduct to real world situations.
Explore the Case Studies

Each video illustrates a case study presenting a hypothetical factual circumstance then asking a question about a CFP® professional’s duty in that circumstance under the Code and Standards. The video then reviews the response options, identifies the best response, and then discusses the rationale for why that response is the best and why the other response options are not the best. 

CFP Board intends for these quick videos to guide CFP® professionals in applying the Code and Standards to their own practice.

Below is a list of the case study videos by topic:

Conflicts of Interest

Fiduciary Duty

Working in Teams

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