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Professional Standards

Standards of Professional Responsibility for CFP® Professionals and FPSC Level 1® Certificants in Financial Planning

FPSC continually strives to ensure Canadians are well served in the financial planning profession by setting and enforcing rigorous standards for Certified Financial Planner® professionals and FPSC Level 1 certificants. Standards are regularly evaluated for their relevance in meeting the needs of Canadians and to ensure they’re keeping pace with changes in the financial planning profession. Read more about the August 2015 changes to the FPSC Rules of Conduct

The Standards of Professional Responsibility for CFP Professionals and FPSC Level 1 Certificants in Financial Planning / Normes de responsabilité pour les CFP professionnels et les candidats enregistrés au FPSC represents the compilation of four sets of standards to which CFP professionals and FPSC Level 1 certificants must adhere:


  1. FPSC Code of Ethics: Outlines the eight main principles guiding the conduct of CFP professionals and FPSC Level 1 certificants in all professional activities.
  2. FPSC Rules of Conduct: Outlines the rules that accompany the Code and reflect the specific standards of conduct expected of CFP professionals.
  3. FPSC Fitness Standards: Outlines the expectations that FPSC has for the character of CFP professionals and FPSC Level 1 certificants.
  4. FPSC Financial Planning Practice Standards: Outlines the standardized steps to be followed in any financial planning engagement. 

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