CFP Board Code of Ethics  #1001

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Course Description

Course publication/revision date: This course was updated on 3/9/2015.

This course is approved by the Certified Financial Planner Board of Standards, Inc. and it meets CFP Board's Code of Ethics and Practice Standards requirement. 

About CFP Board Code of Ethics:
This course provides a comprehensive update and review of CFP Board’s Standards of Professional Conduct, with an emphasis on the practical aspects of the Code of Ethics and Professional Responsibility, the Financial Planning Practice Standards, and the Rules of Conduct. Case studies present examples of violations of the Rules of Conduct.

Special topics include ethical challenges that practitioners can encounter as a result of the different roles they play in financial planning relationships: From order-taker in a brokerage firm, to guiding a client through the financial planning process, to serving as a personal advisor or coach. Other ethical issues covered include compensation and conflicts of interest disclosures. Sample disclosure forms and client financial worksheets are included in the Appendix. 

Course Information
Open link above to view Table of Contents and Learning Objectives
Program Delivery Method: Self-study
Authors: Renee Porter-Medley, CFP® and Christine Cargnoni, CFP®
Course Text: Available two ways—online or print (mailed)
        Downloadable PDF of text is included in price
Course Exam: Included in price (including retakes) 
         Exam questions are online and may be printed  
Taking Exam: Take exam online from your "My Courses" page
        Exam may be started, stopped, & resumed
        Results and certificate available immediately   
Level of Complexity: Overview
Course Prerequisites: None
Advance Preparation: None
Subject Codes/Fields of Study: CFP Board's Code of Ethics Program 

CE Credit Information
This course is approved by the CFP Board (CFP Board Course ID# 195059)
CFP® CE credit available in all states 

Program Sponsor Information
CFP Board: #1008. CFP Board credits are reported weekly

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