Ethics CE Programs must focus exclusively on CFP Board's Standards of Professional Conduct
for a minimum of 100 minutes.
Sessions must focus on the required learning objectives. Programs may make use of case scenarios taken from CFP Board’s Anonymous Case Histories
and may also make use of fictitious scenarios that illustrate issues related to CFP Board's Ethical Standards. However, fictitious scenarios may not be accompanied with predictions of actions CFP Board might take when presented with any fictitious scenario. In addition to the standard CE Program format requirements, for Self-Study and Live programs, Ethics CE Programs must also meet the following requirements:
- Live Format:
- A description of how attendance will be monitored.
- Self-Study Format:
- A minimum of 40 assessment questions with an 80% passing score.
- The exam questions must relate to the required learning objectives.
Programs, including all related materials, must use the most updated version of CFP Board's Standards of Professional Conduct
. Ethics CE sponsors will be notified if and when updates to the Standards are made. Course content updates will be identified in those notifications and sponsors will be expected to make any necessary changes within six (6) weeks of that notification.
The instructor and/or author of an Ethics CE program must:
- Hold current CFP® certification, with all CFP Board CE requirements up-to-date and all renewal and other fees paid in full.
- Have held CFP® certification for 5 years or more.
- Not be the subject of a pending investigation by CFP Board or any federal or state regulator.
- Not have been the subject of a CFP Board discipline (i.e. private censure, public letter of admonition, or suspension) received within the past five years.
- View the Ethics Sponsor Webinar and submit an attestation.
Ethics CE sponsors must submit attendance reports to CFP Board using CFP Board's specified Attendance Reporting Form within four weeks of a program's completion via email to email@example.com. Step-by-step instructions for submitting attendance can be found at www.CFP.net/attendance.
Ethics CE sponsors must maintain records for a period of four years following the date each program is presented:
- The date and location of the program presentation(s).
- The name(s) of each instructor or discussion leader.
- The list of CFP® professionals attending each Live Program presentation and/or the list of CFP® professionals successfully completing each Self-Study Program.
- The written outline of the program presentation(s).