CFP Board Code of Ethics

COURSE DESCRIPTION:

This course provides a practical review of the Code of Ethics and Practice Standards through the use of definitions and short case studies in which you will have the opportunity to practice your ethical responsibilities. In some of the cases that we will present to you, there will be no right or wrong answer, but you will have to proceed in an ethical manner if faced with such situations in providing your financial planning services.

While completing the case studies, you should refer to the Code of Ethics and Professional Responsibility and Disciplinary Rules and Procedures found at www.cfp.net. Always keep in mind that this section represents the official adopted version of the Code.

LEARNING OBJECTIVES:

• Identify the concepts comprising the Code of Ethics and Professional Responsibility
• Describe professionalism and ethical standards expected from a CFP Board designee
• Show the attributes associated with a high standard of professionalism
• Apply ethical principles to daily CFP responsibilities
• Define what is meant by "CFP Board designee"
• Differentiate between the guidance provided by "rules" vs. "principles"
• Summarize which rules apply to particular CFP Board designee activities
• Demonstrate the responsibilities of a CFP Board designee
• Define the standards of consumer protection in the financial industry
• Identify the various regulations of the financial planning world

TOPICS COVERED:

• Introduction, Preamble and Scope
• Lesson 1: Compliance
• Lesson 2: Principles Defined with Practical Rules
• Lesson 3: Disciplinary Rules
• Lesson 4: Practice Standards

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