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

David Mannaioni
2
Main
5/7/2022
9:45 AM - 11:45 AM

This two-hour presentation meets the ethics CE requirement for CFP® certificants. In addition to the latest update to CFP® Board's Code and Standards, this presentation covers CFP® Board's fiduciary standard, the new rules for managing conflicts of interest and the new reporting rules for the disciplinary process.

Learning Objectives:

  • Understand the structure and content of the revised Code and Standards, including significant changes from prior rules
  • Describe CFP Board’s Fiduciary Duty
  • Identify Material Conflicts of Interest and How to Avoid, or Fully Disclose, Obtain Informed Consent, and Manage Them
  • Understand the Duty to Report to CFP Board and the Duty to Cooperate
  • Identify the Practice Standards When Providing Financial Advice that Requires Financial Planning or Financial Planning.
  • Understand the Duty to Provide Information to Clients When Providing Financial Advice and/or Financial Planning.

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