Ethics CE Program Checklist

For Education Partners

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Ethics CE Program Checklist

To ensure that your program applications are submitted correctly in full, please review the following checklist:

All Programs

  • Ethics CE Sponsor Registration Agreement and Ethics CE Program Application filled out completely.
  • Presentation states the learning objectives as part of the program’s introduction or program overview (see below).
  • Program instruction focuses exclusively on CFP Board’s Standards of Professional Conduct for a minimum of 100 minutes.
  • Instructors and Authors complete the CFP Board of Ethics Webinar (see below).
  • All program materials properly use CFP Board trademarks and include the required taglines/disclaimers (see below).
  • All program materials have been submitted including handouts, presentation materials, and workbooks.
  • All advertising materials have been submitted or a note on how the program will be advertised if approved.

Live Programs

  • A description of how attendance will be monitored is included with the application.

Self-Study Programs

  • End of program assessment includes a minimum of 40 questions and is included with the submitted program materials.
  • Questions relate to the learning objectives, are not in True or False format, and do not reference the location of correct answers within the program materials.
  • A keyed answer sheet has been provided.

Required Learning Objectives

Ethics CE programs must address each of the following learning objectives.

  1. Define and discuss a financial planning engagement, material elements of financial planning, and the financial planning process.
  2. Analyze specific fact patterns to determine if a financial planning relationship exists.
  3. Differentiate between the standards of care set forth in Rules 1.4 and 4.5 of the Rules of Conduct, and apply each standard of care to specific factual situations.
  4. Apply each Practice Standard set forth in the Financial Planning Practice Standards to a hypothetical financial planning engagement.
  5. Identify the information that must be disclosed to the client in writing by a CFP® professional who is engaged in a financial planning relationship or providing material elements of financial planning.
  6. Define the required information that must be disclosed to clients and prospective clients, when that information must be disclosed, and apply each disclosure requirement to specific factual situations. (This includes but is not limited to the compensation and conflict-of-interest disclosure requirements set forth in Rule 2.2 of the Rules of Conduct and Practice Standards 100-1, 400-3, and 500-1.)

Author and Instructor Requirements

The author and/or instructor of an Ethics CE program must:

  1. Hold current CFP® certification, with all CFP Board CE requirements up-to-date and all renewal and other fees paid in full.
  2. Have held CFP® certification for 5 years or more.
  3. Not be the subject of a pending investigation by CFP Board or any federal or state regulator.
  4. 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.
  5. View the Ethics Sponsor Webinar and submit an attestation.

Disclaimer Requirements

Program materials that quote any part of CFP Board's copyrighted materials must include the following disclaimer:

  • Disclaimer: "CFP Board's Code of Ethics and Professional Responsibility, Rules of Conduct, Financial Planning Practice Standards, Fitness Standards for Candidates and Registrants and Anonymous Case Histories are the property of CFP Board and may not be resold, republished or copied without the prior consent of CFP Board."
Any materials or communications that include the CFP® marks must include the following copyright notice:

  • Copyright Notice: "Copyright © (current year) Certified Financial Planner Board of Standards, Inc. All rights reserved. Reproduced with permission."
Program advertisements and any communications promoting the program must include the following disclaimer:

  • Disclaimer: "While the materials for the program(s) on CFP Board's Professional Standards have been approved by CFP Board as meeting the established standards for continuing education, CFP Board does not review the method or means of presentation and, therefore, makes no representation concerning the delivery of this information to the CFP® professional."

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