Ethics in Personal Financial Planning

MGMT 833.379

The financial planner has a fiduciary responsibility that requires utmost good faith as a trusted advisor of their clients. Learn about ethical decision making and conduct specific to the financial planning profession.

READ MORE ABOUT THIS COURSE
Fall
Winter
Spring
Summer
Remote Instruction
Online
Starting at $175.00
As few as 1 day
0.0
0.7

What you can learn.

  • Explore elements of ethical decision making and conduct from a more general perspective by examining the key definitions, issues, and theories of business ethics
  • Review the Investment Advisors Act of 1940, Dodd-Frank regulations, and SEC and FINRA rules and disciplinary history
  • Understand the CFP code of ethics, practice standards, disciplinary processes and procedures, sanctions, and other disciplinary outcomes, and the fitness standards

About this course:

This seminar begins with exploring elements of ethical decision making and conduct from a more general perspective by examining the key definitions, issues, and theories of business ethics. From there, it moves on to ethical decision making and conduct specific to the financial planning profession, including a review of the Investment Advisors Act of 1940, Dodd-Frank regulations, SEC and FINRA rules, and disciplinary history. The remainder of the course time is spent reviewing the CFP Code of Ethics, Practice Standards, Disciplinary Processes and Procedures, sanctions and other disciplinary outcomes, and the Fitness Standards. The unique role of the financial planner as a trusted advisor with the responsibility and requirement of working with clients "with utmost good faith and in a manner reasonably believed to be in the best interest of the client" is emphasized throughout.

Fall 2020 Schedule

Available Format(s):

These courses have regular meeting times and are fully online, via remote instruction. Click “See Details” below for more information.

Available
Saturday 9:00AM PT - 4:00PM PT
Location: Online
376181
Fee:
$175.00
16 days left. Enroll by Nov 14, 2020
See Details
Notes

Required course in the Personal Financial Planning Certificate.

Early enrollment advised. Includes course materials. Internet access required.

Refund Deadline
No refunds after November 13, 2020
Course Requirements
Schedule
Type
Date
Time
Location
Lecture
Sat Nov 14, 2020
9:00AM PT - 4:00PM PT
Online

Available Format(s):

These courses are fully online and have no regular meeting times.

Future Offering (Opens November 02, 2020 12:00:00 AM)
-
This section has no set meeting times.
377972
Fee:
$255.00
See Details
Notes

Required course in the Personal Financial Planning Certificate.

Enrollment limited.

Refund Deadline
No refunds after February 05, 2021
Course Requirements
Course syllabus not yet available.

Contact Us

Speak to a program representative. Hours: Mon-Fri, 8am-5pm.

This course applies towards the following certificates & specializations…

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