Ethics CE: CFP Board’s Revised Code and Standards
This program fulfills the requirement for CFP Board approved Ethics CE. This program is designed to educate CFP® professionals on CFP Board's new Code of Ethics and Standards of Conduct, which is effective October 1, 2019.

Course Publication Date: May 10, 2021

This course is available with NO ADDITIONAL FEE if you have an active all access membership or ethics membership or can be purchased for $49.00!

Author:Frank Castillo CPA
Course No:CFP-ETHICS-15001
Recommended CPE:2.00
Delivery Method:QAS Self Study
Level of Knowledge:Intermediate
Prerequisites:None
Advanced Preparation:None
Recommended Field of Study:Regulatory Ethics
  
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 Advice and/or Financial Planning.

CPE Depot Inc. is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.

Sponsor Number: 109423

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