Ethical Challenges II

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G (2)
Pre-Conference
10/12/2016
4:15 PM - 6:15 PM
Ethics training doesn’t have to be dull or boring!



Ethical Challenges uses animated videos and interactive audience polling to keep the audience involved and learning. Teams participate in an informative and engaging session that teaches the five learning objectives required by CFP Board for ethics training in 2014 through the use of case studies involving the ethical challenges faced by five CFP® professionals.


1. Define elements of the fiduciary standard.

2. Determine when the fiduciary standard applies in a variety of financial planning contexts and scenarios.

3. Determine if a CFP® professional is providing financial planning services or material elements of financial planning services.

4. Explain CFP Board’s compensation disclosure requirements to clients and prospective clients.

5. Communicate any potential conflicts of interest to a client at the initiation of client engagement.

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