Ethics in Personal Financial Planning

Average rating: Rating: 4.5/5

MGMNT 833.379

0.70 CEU

Reg. # Status Location Start Date Qtr/Yr Through 4/07 After 4/07
263962W Open WestwoodWestwood: 131 Extension Gayley Center 1145 Gayley Ave.
5/7/2016 SP 16 $155 $165 Add to Cart
Reg. # Status Location Start Date Qtr/Yr Fee
261357W Open online 2/17/2016 WI 16 $349 Add to Cart

Includes course materials. 6.75 hours of MCLE credit available.

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.

Required course in the Personal Financial Planning Certificate.

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