Ethics in Personal Financial Planning

Average rating: Rating: 4.5/5

MGMNT 833.379

1.80 CEU

Reg. # Status Location Start Date Qtr/Yr Fee
265863W Open online 8/3/2016 SU 16 $349 Add to Cart
Reg. # Status Location Start Date Qtr/Yr Fee
263962W Open WestwoodWestwood: 131 Extension Gayley Center 1145 Gayley Ave.
5/7/2016 SP 16 $165 Add to Cart

16.5 hours of MCLE credit available.

This course explores elements of ethical decision making and conduct by examining the key definitions, issues, and theories of business ethics as they pertain to personal financial planners and those that render personal financial and/or tax advice. Key ethical standards specific to the financial planning profession, including those who offer tax advice, are explored, highlighting the unique role of the financial planner as a "trusted advisor" to his/her client. Reviews the Code of Ethics requirements adopted by Certified Financial Planner Board of Standards Inc. (CFP Board) that are applied to CFP Board designees actively involved in the practice of personal financial planning. Compliance with the Code of Ethics also is reviewed. Instruction includes a review of IRS Circular 230 covering financial planning engagements and the possible impact of Circular 230 on rendering such advice. For technical requirements click here.

Required course in the Personal Financial Planning Certificate.

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