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CFP Board Ethics #100125-2

Course Overview

Credit

Amount

CFP^®

CDFA^®

IAR/FINRA

CIMA^®/CPWA^®/RMA^®

CIMA^®/CPWA^®/RMA^® Ethics

Course Author: Certified Financial Planner Board of Standards Field of Study (CFP): Regulatory Ethics Field of Study (CDFA): Ethics Field of Study (IAR): Ethics and Professional Responsibility Field of Study (IWI/CIMA): Ethics

Course Description

This the current edition of the course. It was updated by the CFP Board in August, 2024.

Ethics CE: A Practical Application of CFP Board’s Code and Standards fulfills the two-hour requirement for CFP Board-approved Ethics CE. The program is designed to educate CFP professionals on CFP Board’s current Code of Ethics and Standards of Conduct, which went into effect on July 1, 2024.

Table of Contents

Modules

Module 1 - Recognize when a CFP® professional is providing Financial Advice.
Module 2 - Apply the Fiduciary Duty.
Module 3 - Describe when Financial Advice requires Financial Planning and the additional obligations that apply.
Module 4 - Identify duties when using or referring other service providers or technologies.
Module 5 - Describe the process the CFP Board follows to uphold the Code and Standards.
Module 6 - Determine what information must be provided to the Client and when to document the exchange of information.

Course Details

Author: Certified Financial Planner Board of Standards

Publication/Revision Date: 8/12/2024

Course Exam Questions (online): 12 (multiple-choice)

Program Delivery Method: Self-Study

Available Formats of Course Text: On Demand Video - Module Based

Course Level, Prerequisites, and Advance Preparation Requirements

License	Course Level	Prerequisites	Advance Preparation Requirements
CFP®	Intermediate	None	None
CDFA®	Intermediate	None	None
IAR	Intermediate	None	None
CIMA®/CPWA®/RMA®	Intermediate	None	None
CIMA®/CPWA®/RMA® Ethics	Intermediate	None	None

Sponsor ID Numbers

CFP Board Sponsor I.D.: 1008 — Course I.D.: 248718

Registered with the Institute for Divorce Financial Analysts

NASAA Sponsor I.D.: S17460 — Course I.D.: C81778

IWI CE Sponsor I.D.: 222740 — Course I.D.: 24BCNHF010

Learning Objectives

As a result of studying the course material, you should be able to meet the objectives listed below:

Recognize when a CFP® professional is providing Financial Advice.
Apply the Fiduciary Duty.
Describe when Financial Advice requires Financial Planning and the additional obligations that apply.
Identify duties when using or referring other service providers or technologies.
Describe the process the CFP Board follows to uphold the Code and Standards.
Determine what information must be provided to the Client and when to document the exchange of information.