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ETHICS CE: CFP Board’s Revised Code and Standards

  • CFP (US)

Published: December, 2021

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Before starting this self study program, please go through the instructional document.

  • Course Description
  • Course Qualification
  • Presenter
  • Faq

Course Description

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.
    77 mins
  • LO 5 : Identify the Practice Standards When Providing Financial Advice that Requires Financial Planning or Financial Planning.
    81 mins
  • LO 6 : Understand the Duty to Provide Information to Clients When Providing Financial Planning and/or Financial Advice.
    106 mins
  • Closing
    120 mins

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.

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.

Who Should Attend?

  • Certified Financial Planner

Course Qualification

Webinar Qualifies For

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

Presenter

About Presenter

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, 

Faq

FAQs content

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