Avoiding a CFP Board Rule Violation: A Practical Approach 5/15/2013





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Published on May 17, 2013

This webinar provides CFP® professionals with a practical approach to avoiding CFP Board rule violations.

Hosted by Rex Staples, Esq., CFP Board's Director of Investigations, and presented by Bill Hayes, CFP®, a member of CFP Board's Disciplinary and Ethics Commission, and Adam Zajac, Esq., CFP Board's Adjudicatory Counsel, this webinar addressed questions of how CFP® professionals can adhere to the Standards of Professional Conduct in their daily practice through real-life scenarios encountered by CFP® professionals, including:

Establishing the scope of engagement,
Making required disclosures to clients and prospective clients,
Documenting client disclosures and interactions, and
Addressing issues that arise when clients divorce.

CFP Board strives to ensure that CFP® professionals understand and are able to comply with CFP Board's Standards of Professional Conduct. Find the advisory opinion and other resources related to the Standards at http://www.CFP.net/standards.

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