Ethics in Personal Financial Planning
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.
Starting at $175.00
As few as 1 day
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 and SEC and FINRA rules and disciplinary history. The balance of 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.
Spring 2019 Schedule
These courses meet in person and make use of an online presence to varying degrees.
Saturday 9:00AM - 4:00PM
Location: UCLA Extension Gayley Center in Westwood
71 days left. Enroll by Apr 27, 2019
Required course in the Personal Financial Planning Certificate.
Advance enrollment is highly recommended. Includes course materials. Internet access required.
No refunds after April 26, 2019
Course syllabus not yet available
Sat Apr 27, 2019
9:00AM - 4:00PM
UCLA Extension Gayley Center in WestwoodUCLA Extension Gayley Center 121DE