Ethics CE: CFP® Board's Revised Code and Standards

9:45 AM - 11:45 AM
San Diego B

This two-hour presentation meets the ethics CE requirement for CFP® professionals. In addition to the latest update to CFP® Board's Code and Standards, this presentation covers CFP® Board's fiduciary standard, the new rules for managing conflicts of interest, and the new reporting rules for the disciplinary process.

Learning Objectives:

  1. Understand the structure and content of the revised Code and Standards, including significant changes from prior rules
  2. Describe CFP® Board’s Fiduciary Duty
  3. Identify material conflicts of interest and how to avoid, or fully disclose, obtain informed consent, and manage them
  4. Understand the duty to report to CFP® Board and the duty to cooperate
  5. Identify the practice standards when providing financial planning or financial advice that requires financial planning 
  6. Understand the duty to provide information to clients when providing financial advice and/or financial planning.