Financial Planning Engagements Disclosure Guide
CFP Board presents this Financial Planning Engagements Disclosure Guide to help CFP® professionals effectively disclose to clients all information required by the Code of Ethics and Standards of Conduct (more specifically, the Duty to Provide Information to a Client). This reference guide, which originally appeared in the Roadmap to the Code and Standards breaks down the information that CFP® professionals must provide to Clients, which documents those disclosures might be found in, and when and how those disclosures must be provided.
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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.