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
Online
Classroom
Starting at $175.00
As few as 1 day
0.0 Credits
0.7 CEUs

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.

Fall 2018 Schedule

These courses are fully online, and there are no in-person classroom meetings.

Available
-
363497
Fee:
$349.00
13 days left. Enroll by Oct 3, 2018
See Details
Notes

Required course in the Personal Financial Planning Certificate.

Enrollment limited. No refund after October 3.

Refund Deadline
No refunds after October 3, 2018

These courses meet in person and make use of an online presence to varying degrees.

Available
Saturday 9:00AM - 4:00PM
363579
Fee:
$175.00
66 days left. Enroll by Nov 25, 2018
See Details
Notes

Required course in the Personal Financial Planning Certificate.

Advance enrollment is highly recommended. Includes course materials. Internet access required.

Refund Deadline
No refunds after November 30, 2018
Schedule
Type
Date
Time
Location
Lecture
Sat Dec 1, 2018
9:00AM - 4:00PM
UCLA Extension Lindbrook Center in Westwood
UCLA Extension Lindbrook Center 214

Contact Us

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

This course applies towards the following certificates & specializations…

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