Video
No Client Agreement to Engage for Financial Planning
Learn more about providing financial advice
Watch the Next VideoCFP Board’s Code of Ethics and Standards of Conduct (“Code and Standards”), provides detailed requirements for the Financial Planning process, and discusses the four options available to CFP® professionals when the client does not agree to engage the CFP® professional to provide Financial Planning. Watch this video for an overview of the four options:
- Not enter into the Engagement
- Limit the Scope of the Engagement
- Provide the requested services after informing the client how Financial Planning would benefit the client
- Terminate the Engagement
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.