Presenter: Darin R. Shebesta, CFP®, AIF®, CAP® I VP, Jackson/Roskelley Wealth Advisors, Inc.
CFP Board's Revised Code and Standards
As part of CFP® certification, all CFP® professionals commit to uphold the high standards outlined in the Code of Ethics and Standards of Conduct. This helps give clients confidence they're partnering with a financial advisor who will put them on the path to a secure future. The CFP Board's Code of Ethics and Standards of Conduct requires CFP® professionals to uphold the principles of integrity, objectivity, competence, fairness and confidentiality. They make a commitment to put their clients' interests first at all times when providing financial advice.
CFP Ethics CE will be submitted to the CFP Board of Standards by the presenter.
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, and identify material conflicts of interest and how to avoid or full 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 and understand the duty to provide information to clients when providing financial planning and/or financial advice.