Practice Quiz

Financial Planner

Category - Professional Conduct and Regulation

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What is the name of the committee that is responsible for reviewing and acting on possible violations of the Code of Ethics and Rules of Conduct?
  1. Disciplinary and Ethics Commission
  2. Certified Financial Planner Ethics Board
  3. Board of Ethics Directors
  4. Ethics Commission
Explanation
Answer: A - The Certified Financial Planner Board established and governs the Disciplinary and Ethics Commission, which is commonly called the DEC. This group is responsible for reviewing any violations of the Code of Ethics and Rules of Conduct, as well as for taking action for any violations.
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