Ethics CE: CFP Board’s Revised Code and Standards Course

PROGRAM LEARNING OBJECTIVES, OUTCOMES, & COMPETENCIES

 

The goal of this program is to position the application of CFP Board's Code of Ethics and Standards of Conduct as the foundation for ethical financial planning.

By the end of this program, the participant should be equipped to:

Learning Objective 1: Identify the structure and content of the revised Code and Standards, including significant changes and how the changes affect CFP® professionals.

Outcomes: Develop Knowledge Base
Competency 1: Understand the significant changes to the Standards
Competency 2: Explain how the significant changes to Standards affect CFP® professionals

Learning Objective 2: Act in accordance with CFP Board's fiduciary duty.

Outcomes: Enforce Comprehension & Demonstrate Application
Competency 1: Understand what constitutes Financial Advice
Competency 2: Understand the duties that constitute the fiduciary obligation
Competency 3: Apply CFP Board's fiduciary duty to various situations

Learning Objective 3: Apply the Practice Standards when providing Financial Planning.

Outcomes: Develop Knowledge Base & Demonstrate Application
Competency 1: Understand the steps of the financial planning process
Competency 2: Recognize when the Practice Standards apply
Competency 3: Apply the steps of the Financial Planning process to various situations

Learning Objective 4: Provide the Client all required information.

Outcomes: Enforce Comprehension & Demonstrate Application
Competency 1: Understand when disclosures are required
Competency 2: Understand what information must be disclosed
Competency 3: Describe the timing and format of disclosure delivery

Learning Objective 5: Recognize and avoid, or fully disclose and manage, Material Conflicts of Interest.

Outcomes: Enforce Comprehension & Demonstrate Application
Competency 1: Identify conflicts of interest
Competency 2: Demonstrate how conflicts of interest can be avoided
Competency 3: Demonstrate how conflicts of interest can be disclosed and properly managed


For more information regarding CE credits, visit: CFP Board CE Credits