Financial Planning Engagements Compliance Checklist

CFP Board designed this checklist 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 (“Code and Standards”) when they are providing Financial Planning.  This easy-to-use checklist, which originally appeared in the Roadmap to the Code and Standards, allows CFP® professional's to track their obligations to a client as set forth in the Code and Standards and identify when those obligations have been met.

Download the Financial Planning Engagements Compliance Guide