medium · Certified Financial Planner General Principles

A financial planner is engaged by the Priest family for a limited-scope review of their education funding for their daughter, Saini Priest. During the intake, the planner discovers the Priests have no wills, no powers of attorney, and no life insurance. The planner recommends the Priests first purchase a $1 million term life policy through the planner's agency.

Which of the following is the most accurate assessment of this recommendation?

  1. The recommendation is appropriate because it addresses the most critical risk (premature death).
  2. The recommendation is improper because it exceeds the defined scope of the engagement.
  3. The planner is acting correctly as a fiduciary by identifying and addressing an uninsured risk.
  4. The recommendation is only valid if the planner discloses the commission they will receive.

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