AFP Exam 1 Practice Questions - CSI Applied Financial Planning Certification Exam 1 (AFP Exam 1) Exam

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A financial planner discovers a material conflict of interest involving a recommended product that pays the firm a higher commission. What is the most appropriate professional response?

Ignore the conflict if the product is suitable on risk grounds alone Recommend the higher-commission product without disclosure to maximize firm revenue Transfer the file immediately without any disclosure or documentation Disclose the conflict, manage it in the client’s interest, and document the process

Correct Answer:

Disclose the conflict, manage it in the client’s interest, and document the process

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