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FP 511 - General Principles of FP EXAM | UPDATE|COMPREHENSIVE FREQUENT MOST-TESTED QUESTIONS AND VERIFIED ANSWERS/SOLUTIONS|GET IT 100% ACCURATE!!

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FP 511 - General Principles of FP EXAM | UPDATE|COMPREHENSIVE FREQUENT MOST-TESTED QUESTIONS AND VERIFIED ANSWERS/SOLUTIONS|GET IT 100% ACCURATE!! when providing financial advice - ANSWER-Code of Ethics Standards of Conduct Fiduciary Duty Managing Conflicts of Interest Financial Advice and Financial Planning - ANSWER-Code of Ethics Standards of Conduct Fiduciary Duty Managing Conflicts of Interest Practice Standards standards of conduct - ANSWER-Duties owed to clients (Fiduciary, competence, etc) Practice Standards Duties owed to firms Duties owed to CFP Board Prohibition on circumvention CFP Fiduciary Duty - ANSWER-Duty of loyalty Duty of care Duty to follow client instructions unacceptable conduct (always bar) - ANSWER--felony conviction for financial or tax crimes -revocation of a financial professional license

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FP 511 - General Principles of FP EXAM | UPDATE|COMPREHENSIVE FREQUENT
MOST-TESTED QUESTIONS AND VERIFIED ANSWERS/SOLUTIONS|GET IT 100%
ACCURATE!!


when providing financial advice - ANSWER-Code of Ethics
Standards of Conduct
Fiduciary Duty
Managing Conflicts of Interest


Financial Advice and Financial Planning - ANSWER-Code of Ethics
Standards of Conduct
Fiduciary Duty
Managing Conflicts of Interest
Practice Standards


standards of conduct - ANSWER-Duties owed to clients (Fiduciary, competence,
etc)
Practice Standards
Duties owed to firms
Duties owed to CFP Board
Prohibition on circumvention

, CFP Fiduciary Duty - ANSWER-Duty of loyalty
Duty of care
Duty to follow client instructions


unacceptable conduct (always bar) - ANSWER--felony conviction for financial or
tax crimes
-revocation of a financial professional license
-felony conviction for murder or rape
-felony conviction for any violent crime in the last five years


presumptive bar - ANSWER--2+ bankruptcies
-revocation or suspension of a non-financial professional license
-suspension of a financial professional license
-felony conviction for non-violent crimes in the last five years
-felony conviction for violent crimes 5+ years ago


Sanctions - ANSWER-Private or Public Censure
Suspension (90 days - 5 years)
Revocation
Temporary or Permanent Bar (for applicants)

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