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CFP Board presents these Checklists, Guides, and Documents to provide practical guidance to CFP® professionals and their firms on the Code of Ethics and Standards of Conduct ("Code and Standards").

Each Checklist, Guide, and Document provides guidance on a discrete topic of interest under the Code and Standards.  CFP Board intends for these Checklists, Guides, and Documents to help CFP® professionals in applying the Code and Standards to their own practice.  Many of these Checklists, Guides, and Documents can be used in day-to-day interactions with clients to help CFP® professionals remain in compliance with the Code and Standards.




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