Post-Conference Workshop: CFP Ethics

Date: 
Wednesday, May 3, 2017 -
11:00am to 1:00pm
Speakers: 

*for CFP designees only; additional fee required

This course is designed to meet CFP® Board’s 2-hour ethics study requirement for CFP® certificants. Upon completion, students will be able to:

  • Define and discuss a financial planning engagement, material elements of financial planning, and the financial planning process. 
  • Analyze specific fact patterns to determine if a financial planning relationship exists.
  • 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. 
  • Apply each practice standard set forth in the Financial Planning Practice Standards to a hypothetical financial planning engagement. 
  • Identify information that must be disclosed to a client in writing when a CFP® professional is engaged in a financial planning relationship or providing material elements of financial planning.
  • Define the information that must be disclosed to clients and prospective clients, when that information must be disclosed and apply each disclosure requirement to a specific factual situation.