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All Candidates and CFP certificants must agree to abide by a strict code of professional conduct that sets forth the professional ethical responsibilities to the public, clients and employers.

The components of the IFPHK’s professional code and standards include:

  1. The IFPHK’s Code of Ethics and Professional Responsibility combines and modifies the FPSB’s Global Code of Ethics, and the FPSB Model Rules of Conduct, to the Hong Kong business environment.  It is based on eight ethical principles: Best interest of clients; Integrity, Objectivity, Fairness, Professionalism, Competence, Confidentiality and Diligence.
  2. The IFPHK’s Financial Planning Practice Standards adopts and modifies the FPSB’s Global Financial Planning Practice Standards.  The standards clarify the detailed process that the IFPHK expects a CFP certificant to follow in a financial planning engagement.

The IFPHK’s professional code and practice standards are part of the certification programs. Candidates have to agree to abide by and adhere to the code and the practice standards to be able to obtain their certifications.

The IFPHK enforces the code and investigates complaints against both certificants and Candidates.

The IFPHK also performs a background check when Candidates apply for their certifications and each Candidate must disclose any investigations or legal proceedings related to his/her professional or business conduct.  This is enforced through the Disciplinary Rules and Procedures.