Ethics & Professional Responsibility


Find courses that will help you understand new and existing rules and regulations that apply to your everyday professional activities. The course "Practicing Ethics - Applying CFP Board Standards" will satisfy CFP Board's required 2 hour ethics requirement. Please note that this is offered as a live re-broadcast event only. To register for this course, visit our live listings to find an upcoming date.


Ethics and Professional Responsibility (CE Credit)
Ethics & Professional Responsibility (No Credit)
Collapse A Deep Dive in the SEC

THIS COURSE IS FOR FPA MEMBERS ONLY
Not a member? Join FPA to gain immediate access to this course. Join FPA
 

Haven't had a chance to read the 1,363 pages of the SEC's Investment Advice Rule Package? No problem because FPA has you covered. In this webinar, attorneys from the Groom Law Group gives an overview of each of the SEC's final rules - Regulation Best Interest, Form CRS Relationship Summary and Form ADV Amendments, Commission Interpretation Standard of Conduct for Investment Advisers, and Commission Interpretation Broker-Dealer Exclusion.

Formats Available: Streaming
Original Course Date: August 05, 2019
On-Demand Release Date: Available Now
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Collapse Journal in the Round: Deconstructing the SEC


 

Join the contributors of September's Journal of Financial Planning, Kevin L. Walsh and David N. Levine with Groom Law Group, as they continued to discuss the SEC's new rule package and main components of Reg BI. During this online, interactive roundtable, Walsh and Levine explained how to meet the best interest standard through the component obligations, how the package impacts financial planners and their clients, and more. This program included an audience Q&A led by Raymond Benton, CFP®, CRPC, EA, Journal in the Round moderator and FPA member.

Overview: General review of subject from a broad perspective/ dive into basic knowledge on a skill or topic. For newer CFP® professionals or unfamiliar with subject.

Formats Available: Streaming, Live Event + Archive
Original Course Date: September 25, 2019

Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Journal in the Round: Deconstructing the SEC