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CFP Approved Ethics Program

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

Topic

Professional Conduct and Regulation

Program ID

333049

Hours

2

Format

Self-Study / Recorded webinar

Complexity

Intermediate

Description

This program fulfills the requirement for CFP Board approved Ethics CE. It has been designed to educate CFP® professionals on CFP Board's new Code of Ethics and Standards of Conduct effective July 1, 2024. This session discusses how CFP® professionals should uphold high standards and ethical practices. Through this course, you will learn about the paramount obligation of CFP® professionals to act as fiduciaries, ensuring that they put their clients’ interests first when delivering financial advice as well as other obligations under the Code and Standards.

Learning Objectives

1. Recognize when a CFP® professional is providing Financial Advice. 2. Apply the Fiduciary Duty. 3. Describe when Financial Advice requires Financial Planning and the additional obligations that apply. 4. Identify duties when using or referring other service providers or technologies. 5. Describe the process the CFP Board follows to uphold the Code and Standards. 6. Determine what information must be provided to the Client and when to document the exchange of information.