CFP Ethics: A Practical Application of CFP Board's Code and Standards

By the end of this program, the participant should be equipped to: LO 1: Recognize when a CFP professional is providing Financial Advice. LO 2: Apply the Fiduciary Duty. LO 3: Describe when Financial Advice requires Financial Planning and the additional obligations that apply. LO 4: Identify Duties when using of referring other persons or technologies. LO 5: Describe the process CFP Board follows to uphold the Code and Standards. LO 6: Determine what information must be provided to Client and when to document exchange of information.