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.
Course Publication Date:
May 10, 2021
This course is available with
NO ADDITIONAL FEE if you have an active
all access membership or
ethics membership or can be purchased for
$49.00!
| Author: | Frank Castillo CPA |
| Course No: | CFP-ETHICS-15001 |
| Recommended CPE: | 2.00 |
| Delivery Method: | QAS Self Study |
| Level of Knowledge: | Intermediate |
| Prerequisites: | None |
| Advanced Preparation: | None |
| Recommended Field of Study: | Regulatory Ethics
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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.