| Financial Planning Association Code of Ethics |
This Code of Ethics is a expression of the financial planning profession's recognition of its
responsibilities to the public, to clients, to colleagues, and to employers. These principles
apply to all Financial Planning Association (FPA) members and provide guidance to them in
the performance of their professional services.
responsibilities to the public, to clients, to colleagues, and to employers. These principles
apply to all Financial Planning Association (FPA) members and provide guidance to them in
the performance of their professional services.
Integrity
Confidentiality
An FPA member shall offer and
provide Professional Services with
Integrity
provide Professional Services with
Integrity
An FPA member shall not disclose any
confidential client information without
the specific consent of the client
unless in response to proper legal
process, to defend against charges of
wrongdoing by the FPA member, or in
connection with a civil dispute between
the FPA member and client.
confidential client information without
the specific consent of the client
unless in response to proper legal
process, to defend against charges of
wrongdoing by the FPA member, or in
connection with a civil dispute between
the FPA member and client.
Objectivity
An FPA member shall be objective
in providing professional services
to clients.
in providing professional services
to clients.
Professionalism
An FPA member's conduct in all
matters shall reflect credit upon the
profession.
matters shall reflect credit upon the
profession.
Competence
An FPA member shall provide services
to clients competently and maintain the
necessary knowledge and skill to
continue to do so in those areas in
which the designee is engaged.
to clients competently and maintain the
necessary knowledge and skill to
continue to do so in those areas in
which the designee is engaged.
Diligence
An FPA member shall act diligently in
providing professional services.
Diligence is the provision of services in
a reasonably prompt and thorough
manner. Diligence also includes
proper planning for and supervision of
the rendering of professional services.
providing professional services.
Diligence is the provision of services in
a reasonably prompt and thorough
manner. Diligence also includes
proper planning for and supervision of
the rendering of professional services.
| Fairness |
An FPA member shall perform
professional services in a manner that
is fair and reasonable to clients,
principals, partners, and employers
and shall disclose conflict(s) of
interest(s) in providing such services.
professional services in a manner that
is fair and reasonable to clients,
principals, partners, and employers
and shall disclose conflict(s) of
interest(s) in providing such services.
This Code of Ethics was derived from the Code of Ethics and Professional Responsibility (TM) Certified
Financial Planner Board of Standards, Inc. All rights reserved. For a full version of FPA's Code of
Ethics, please visit www.fpanet.org/about/ethics.cfm
Financial Planner Board of Standards, Inc. All rights reserved. For a full version of FPA's Code of
Ethics, please visit www.fpanet.org/about/ethics.cfm