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Ethics CE: CFP Board's Revised Code and Standards

Linda Leitz PhD, CFP, EA, CDFA
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Regulatory Ethics
Concurrent Session
11/2/2024
9:45 AM - 11:45 AM
Broadway Ballroom West

This program fulfills the requirement for CFP Board approved Ethics CE. It has been designed to educate CFP庐 professionals on CFP Board's new Code of Ethics and Standards of Conduct effective October 1, 2019.

Learning Objectives:

  • Understand the structure and content of the revised Code and Standards, including significant changes from prior rules.
  • Describe CFP Board鈥檚 Fiduciary Duty.
  • Identify Material Conflicts of Interest and How to Avoid, or Fully Disclose, Obtain Informed Consent, and Manage Them.
  • Understand the Duty to Report to CFP Board and the Duty to Cooperate.
  • Identify the Practice Standards When Providing Financial Advice that Requires Financial Planning or Financial Planning.
  • Understand the Duty to Provide Information to Clients When Providing Financial Planning and/or Financial Advice.

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