CODE OF ETHICS FOR PFP PROFESSIONALS

Question 1

One of the four main concepts of the PFP Code of ethics.

PFP® designates will comply with legal and regulatory principles that govern the financial services industry. You will be professional, compliant, and recognize your limitations, exercise due diligence and practice with sound judgment. To be compliant with this code of ethics you must respect all of the requirements set out in the detailed version.

Answer 1

General responsibilities

Question 2

One of the four main concepts of the PFP Code of ethics.

All PFP® designates will strive to maintain the highest level of personal integrity when dealing with clients. By demonstrating respect, honesty, due diligence and practicing sound compliance, you will honour the trust of clients, while providing an environment of confidentiality, free from discrimination.

Answer 2

Responsibilities to the client

Question 3

One of the four main concepts of the PFP Code of ethics.

PFP® designates will operate in accordance with financial services regulation governing the activity you are conducting and licensed to provide, and in accordance with the law. PFP®s have a responsibility to conduct themselves with honesty, trust, competence and abide by the terms of the PFP® Certification Mark License Agreement.

Answer 3

Responsibilities to the profession

Question 4

One of the four main concepts of the PFP Code of ethics.

In addition to their other responsibilities, PFP designates who are not self-employed have responsibilities with the following responsibilities to their employer:
* Place your employer’s interests ahead of your own and do not exploit your position for personal advantage.
* Disclose to your employer all matters that reasonably could be expected to interfere with your duty to your employer.
* Comply with any prohibitions on activities imposed by your employer if a conflict of interest exists.

Answer 4

Responsibilities to the employer