ETHICS CE: CFP Board’s Revised Code and Standards
The content of this program is based on CFP Board’s Code of Ethics and Standards of Conduct (Code and Standards), which became effective on July 1, 2024. This presentation satisfies the CFP certificant's 2-hours of Ethics course requirements.
- Recognize when a CFP® professional is providing Financial Advice
- Apply the Fiduciary Duty
- Describe when Financial Advice requires Financial Planning and the additional obligations that apply
- Identify duties when using or referring other service providers or technologies
- Describe the process the CFP Board follows to uphold the Code and Standards
- Determine what information must be provided to the Client and when to document the exchange of information
Charles Garcia, CFP®, JD, CKA®
Vice President of Advisory Services, PAX Financial Group
Join Charles Garcia for an enlightening journey into the realm of CFP Ethics. With 28 years of experience in the advisory business, spanning across various esteemed institutions including investment firms, insurance companies, banks, brokerages, and RIAs, Charles brings a wealth of practical knowledge and insights to the presentation.
His academic background in psychology and law enriches the discourse, providing a unique perspective on ethical dilemmas in financial planning. As a current financial advisor managing over $150M in client assets, exclusively on a fee-based model, Charles embodies the principles he teaches. Moreover, his tenure as the former president of the Financial Planning Association's San Antonio chapter underscores his commitment to advancing ethical standards within the profession.
Enroll in Charles's CFP Ethics course to not only meet your educational requirements but also gain invaluable wisdom from a seasoned practitioner and leader in the field.