For CFP® Professionals

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Webinars

Recorded Webinars

Is This Financial Planning? How to Determine if You're in a Financial Planning Engagement

On May 14, 2014, CFP Board presented a webinar, hosted by Matthew Winterhalter, Esq., CFP Board's Compliance Counsel, with panelists Jeffrey T. Weekes, CFP®, Vice President, The Weekes-Cardwell-Ford Group at Morgan Stanley, and Adam Zajac, Esq., CFP Board's Adjudicatory Counsel. The webinar addressed one of the most frequent questions CFP® professionals submit to CFP Board's Professional Standards staff: "Am I providing financial planning?" The question is an important one, given CFP® professionals' obligation under CFP Board's Standards of Professional Conduct to adhere to a fiduciary standard when providing financial planning.

This webinar uses real-life scenarios to illustrate how a CFP® professional can determine if a client relationship constitutes financial planning.
  

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How to Avoid Misleading Compensation Disclosures

On August 7, 2013, CFP Board presented a webinar, hosted by Rex Staples, Esq., CFP Board’s Director of Investigations, panelists Phil Fazio, CFP®, a member of CFP Board's Ad Hoc Disciplinary and Ethics Commission, Michael P. Shaw, Esq., CFP Board’s Managing Director of Professional Standards and Legal, and Adam R. Zajac, Esq., Adjudicatory Counsel at CFP Board.  This webinar provides an important reminder to CFP® professionals of the scope of the term compensation and their obligation to make accurate and understandable disclosures of compensation methods to clients throughout a client-planner relationship.  This webinar also discusses the “Notice to CFP® Professionals:  Importance of Accurate Compensation Disclosures” and changes to CFP Board’s “Find a CFP® Professional” search engine related to options for compensation disclosure.   

CFP Board strives to ensure that CFP® professionals understand and are able to comply with CFP Board's Standards of Professional Conduct. Find the “Notice to CFP® Professionals” and other resources related to the Standards on our Compliance Resources Page.

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Avoiding a CFP Board Rule Violation: A Practical Approach

On May 15, 2013, CFP Board presented this webinar to provide CFP® professionals with a practical approach to avoiding CFP Board rule violations.

Hosted by Rex Staples, Esq., CFP Board’s Director of Investigations, and presented by Bill Hayes, CFP®, a member of CFP Board’s Disciplinary and Ethics Commission, and Adam Zajac, Esq., CFP Board’s Adjudicatory Counsel, this webinar addressed questions of how CFP® professionals can adhere to the Standards of Professional Conduct in their daily practice through real-life scenarios encountered by CFP® professionals, including:

  • Establishing the scope of engagement,
  • Making required disclosures to clients and prospective clients,
  • Documenting client disclosures and interactions, and
  • Addressing issues that arise when clients divorce.

The webinar used several case studies to illustrate key issues related to these situations, and the presenters also addressed questions from the live audience.

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How to Identify, Avoid and Manage Conflicts of Interest

On February 13, 2013, CFP Board held a webinar to introduce CFP Board's new advisory opinion on Managing Conflicts of Interest, addressing how CERTIFIED FINANCIAL PLANNER™ professionals can best recognize and manage conflicts of interest in their practice, in order to comply with CFP Board’s Standards of Professional Conduct. Presented by Matthew Murphy, CFP®, member of CFP Board's Disciplinary and Ethics Commission, Rex Staples, CFP Board's Director of Investigations, and Adam Zajac, CFP Board's Adjudicatory Counsel, the topics addressed included:

  • What constitutes a conflict of interest under CFP Board’s definition of conflicts of interest?
  • Which CFP Board Rules of Conduct apply to conflict of interest situations?
  • How and when should a CFP® professional disclose a conflict of interest to a client or prospective client?

The webinar used several case studies to illustrate key issues related to these topics, and the presenters also addressed questions from the live audience.

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CFP Board Disciplinary Trends and Compliance Tips

On November 29, 2012, CFP Board held a webinar to review trends in the types of conduct that have come under review by CFP Board's Disciplinary and Ethics Commission ("DEC") and offer tips for avoiding disciplinary action by complying with CFP Board's Standards of Professional Conduct. During this webinar, Michael P. Shaw, CFP Board's Managing Director, Professional Standards & Legal, Martin Siesta, CFP®, 2013 DEC Chair Designee, and Rex Staples, CFP Board's Director of Investigations, addressed questions from the live webinar audience.

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CFP Board's New Compliance Checklist for Documenting Client Interactions

On September 27, 2012, CFP Board held a webinar to introduce a new compliance tool – CFP Board's Standards of Professional Conduct Compliance Checklist – designed to help CFP® professionals in documenting client interactions for both financial planning and non-financial planning engagements. During this webinar, Joseph V. Maugeri, CFP®, CFP Board's Director of Business Development, Adam Zajac, CFP Board's Adjudicatory Counsel, and Michael P. Shaw, CFP Board's Managing Director, Professional Standards & Legal, and Adam Zajac, CFP Board's Adjudicatory Counsel, addressed questions from the live webinar audience.

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What Should CFP® Professionals Know about CFP Board's New Sanction Guidelines?

On August 14, 2012, CFP Board held a webinar to provide an overview of CFP Board's new Sanction Guidelines and discuss how they affect CFP® professionals and CFP Board's disciplinary process. The Sanction Guidelines, for use in hearings before the Disciplinary and Ethics Commission ("DEC") and the Appeals Committee of the Board of Directors, were approved by CFP Board's Board of Directors with an effective date of August 27, 2012. During this webinar, Christopher Beard, 2012 DEC Chair, Michael Shaw, CFP Board's Managing Director of Professional Standards & Legal, and Adam Zajac, CFP Board's Adjudicatory Counsel, addressed questions from the live webinar audience.

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How Is CFP Board Protecting the CFP® Marks?

On May 2, 2012, CFP Board held a webinar outlining recent updates to CFP Board's enforcement procedures, including new procedures addressing bankruptcy filings and amendments to CFP Board's Disciplinary Rules and Procedures. During this webinar, Chris Beard, CFP®, 2012 Chair of CFP Board's Disciplinary and Ethics Commission, and Michael P. Shaw, Esq., CFP Board's Managing Director of Professional Standards and Legal, shared details about how each of these changes affect CFP® professionals and answered questions from the live audience.

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Applying the Fiduciary Standard to a Financial Planning Practice

On November 9, 2011, CFP Board held a webinar addressing key concepts related to applying the fiduciary standard to the practice of financial planning, including:

  • When does the fiduciary standard of care apply?
  • When are you holding yourself out as a financial planner?
  • How can you define your scope of engagement to best protect yourself?
  • If a CFP® professional presents a financial plan to a client and the client elects not to follow the recommendations in the plan, does the CFP® professional owe the client a fiduciary duty of care?
  • How is financial planning different from brokerage services? Investment advice? Insurance?
  • How do the Financial Planning Practice Standards relate to the six step financial planning process?
  • What kinds of conduct in a financial planning relationship have led to violations of CFP Board's Rules of Conduct and/or non-compliance with the Practice Standards?

The webinar was presented by members of CFP Board's Disciplinary and Ethics Commission and hosted by Michael Shaw, CFP Board's Managing Director of Professional Standards & Legal.

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CFP Board Disciplinary Trends

On May 26, 2011, CFP Board held a webinar addressing trends in the types of conduct that have come under review by CFP Board's Disciplinary and Ethics Commission, based on an analysis of CFP Board's Anonymous Case Histories from 2008 to 2010, including the sanctions imposed for specific types of conduct.

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Avoiding a CFP Board Rule Violation

On March 31, 2011, CFP Board held a webinar addressing key concepts related to CFP Board’s enforcement of the Standards of Professional Conduct, including CFP Board’s definitions of “financial planning” and “fiduciary,” examined how those definitions relate to the written agreement and disclosure requirements of the Standards, and addressed questions from the audience.

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Practical Applications of the Fiduciary Standard of Care

On December 9, 2009, CFP Board held a webinar to answer questions CFP® certificants submitted about the Standards of Professional Conduct to better understand when the fiduciary and baseline duties of care apply, including:

  • What does it mean to place the client’s interest ahead of the CFP® professional’s?
  • Does the fiduciary standard of care apply when a CFP® professional advises a client solely on the portfolio distribution of the client’s 401(k) plan?
  • Does the fiduciary standard apply when a CFP® professional recommends a life insurance policy to a client who previously purchased only a homeowner’s policy?
  • Does CFP Board’s baseline standard of care, which requires placing the client’s interest ahead of the CFP® professional’s at all times, apply when the professional prepares a financial plan for the client?
  • Does the fiduciary standard of care apply when the CFP® professional and client have a financial planning relationship, even if there is no written agreement between the two?

During this webinar, these questions were answered by members of CFP Board’s Ethics Task Force: Nancy Johnson Jones, CFP®, AIFA®, CSCP™, Founder, Strategic Compliance Concepts, and Glenn Parker, CFP®, Founder, Wychick Investment Advisors, Inc.

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Review additional resources related to compliance with CFP Board's Standards of Professional Conduct

Read more about CFP Board's Standards of Professional Conduct

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