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Ethics CE: CFP® Board’s Revised Code and Standards

CFP® Ethics Course - 2024

Access Self Study

Learning Objectives

Success starts by first understanding the learning objectives and intended outcomes for the program. The goal of this program is to position the application of CFP® Board's Code of Ethics and Standards of Conduct as the foundation for ethical financial planning.

By the end of this program, the participant should be equipped to:

LO 1: Understand the structure and content of the revised Code and Standards, including significant changes from prior rules.

LO 2: Describe CFP® Board’s Fiduciary Duty.

LO 3: Identify Material Conflicts of Interest and How to Avoid, or Fully Disclose, Obtain Informed Consent, and Manage Them.

LO 4: Understand the Duty to Report to CFP® Board and the Duty to Cooperate.

LO 5: Identify the Practice Standards When Providing Financial Advice that Requires Financial Planning or Financial Planning.

LO 6: Understand the Duty to Provide Information to Clients When Providing Financial Planning and/or Financial Advice.

Course Description

This program fulfills the requirement for CFP® Board approved Ethics CE. This program is designed to educate CFP® professionals on CFP® Board's new Code of Ethics and Standards of Conduct, which is effective October 1, 2019.

Overview

  • Opening
    1 mins
  • LO 1 : Understand the structure and content of the revised Code and Standards, including significant changes from prior rules.
    1 mins
  • LO 2 : Describe CFP® Board’s Fiduciary Duty.
    32 mins
  • LO 3 : Identify Material Conflicts of Interest and How to Avoid, or Fully Disclose, Obtain Informed Consent, and Manage Them.
    50 mins
  • LO 4 : Understand the Duty to Report to CFP® Board and the Duty to Cooperate.
    72 mins
  • LO 5 : Identify the Practice Standards When Providing Financial Advice that Requires Financial Planning or Financial Planning.
    83 mins
  • LO 6 : Understand the Duty to Provide Information to Clients When Providing Financial Planning and/or Financial Advice.
    106 mins
  • Closing
    119 mins

Who Should Attend

Certified Financial Planner

Self-Study Webinar Qualifies For

  • 2 CE Credit of Professional Conduct and Regulation for Certified Financial Planner (CFP-US) (Approval No. 298258)

About Instructor

Daniel Candura,

President, Candura Group, LLC


• Nationally recognized expert in ethics for financial professionals

• Champion for quality advice and an advocate for improved access to competent, objective, affordable financial advice for working people
• Innovator and Strategist with two of the largest firms in the financial services industry

Specialties: ethics, training, 


Additional Information

Course Level

Basic

Credits

2

Instructional Method

QAS Self Study

Pre-requisites

None

Advance Preparation

None

FAQ’s

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Ratings and Review

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TK

Thomas Kelley, CPA (US)

The pace and depth of information was helpful in gaining knowledge while not overwhelming the amount of information covered.

SM

Steven Mitchell, CFP® (US)

Excellent presentation. Quizzes and case studies throughout the program reinforced each segment.

DC

Daniel Costa, CPA (US)

Clear and concise communication of CFP(R) Board's revised code and standards.

MM

Michael Miller, CFP® (US)

This is perhaps the best ethics CE presentation I have ever experienced.

MC

Mary Coursey, CFP® (US)

The course is well done, thanks for the information and resources.

2 Credits

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Subject Area

Professional Conduct and Regulation

Unlimited Access Plan

Access to 13000+ Hours of Continuing Education Approved Content Know More

Inclusions

  • Continuing Education Certificates for Multiple Qualifications.
  • Instant Certificates
  • Access on Mobile, Tablet and Desktop

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