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® 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’s 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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