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)
Collapse Beyond Compliance: The Nature of Fiduciary Responsibility - On Demand

Retreat 2016

All eyes are on the DOL and SEC as they move forward with fiduciary rulemaking. Now that the DOL Final Rule is out and may withstand any challenges, eyes are turning to how the SEC will proceed with their fiduciary rulemaking. No matter how the fiduciary process is played out, a rich understanding why the fiduciary standard exists is crucial as a defining characteristic of all true professions. By embedding fiduciary principles and processes in a financial planning practice the practitioner goes beyond compliance to demonstrate true professionalism and establish a successful and sustainable business model. This session will cover why the fiduciary standard exists, where recent regulatory developments stand, seven precepts to guide fiduciary conduct, and a novel approach to telling the fiduciary story.

Formats Available: Streaming
Original Course Date: September 09, 2016

Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Beyond Compliance: The Nature of Fiduciary Responsibility - On Demand
    Collapse Beyond Financial Success; a Value Systems Perspective

    Retreat 2015

    All eyes are on the DOL and SEC as they move forward with fiduciary rulemaking. Now that the DOL Final Rule is out and may withstand any challenges, eyes are turning to how the SEC will proceed with their fiduciary rulemaking. No matter how the fiduciary process is played out, a rich understanding why the fiduciary standard exists is crucial as a defining characteristic of all true professions. By embedding fiduciary principles and processes in a financial planning practice the practitioner goes beyond compliance to demonstrate true professionalism and establish a successful and sustainable business model. This session will cover why the fiduciary standard exists, where recent regulatory developments stand, seven precepts to guide fiduciary conduct, and a novel approach to telling the fiduciary story.

     

    Formats Available: Streaming
    Original Course Date: April 22, 2015

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Beyond Financial Success; a Value Systems Perspective
    Collapse Elder Fraud & Financial Health - On Demand

    Join Elizabeth Loewy, General Counsel and Senior Vice President of Industry Relations for EverSafe, for a special webinar in which she will focus on ways financial advisers can help prevent fraud and abuse by using common tools such as guardianship, powers of attorney and technology. She will explain how to create a family fortress for clients and their families by utilizing sophisticated technology. Elizabeth will also address the FINRA and NASAA proposals related to senior investors.

    Level of Complexity: Overview

    Formats Available: Streaming, Event
    Original Course Date: April 12, 2017
    On-Demand Release Date: Available Now

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Elder Fraud & Financial Health - On Demand
    Collapse Journal in the Round: A Procrastinator

    Please note that CE is only available for the live presentation

    Join this month's contributor to the Journal of Financial Planning, Steve Niehoff of the Pension Resource Institute (PRI), and  Ed Gjertsen, current chair of the FPA PAC as they share their insights on what advisers should know and do to be compliant with the DOL ruling as it is on the books today.  The panel and audience Q and A,  will be moderated by Josephine Colacci, FPA's Public Policy Counsel.

    Formats Available: Webinar + Archive
    Original Course Date: August 30, 2017

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Journal in the Round: A Procrastinator
    Collapse Practicing Ethics - Applying CFP Board Standards
    REBROADCAST

    PLEASE NOTE THAT THIS COURSE AND CE CREDIT ARE ONLY AVAILABLE FOR THE DATE AND TIME OF THE REBROADCASTED EVENT.

     

    Beginnning with a meaningful discussion of ethical vs. moral vs. legal behaviors, this program focuses on CFP Board's Code of Ethics and Professional Responsibilities and its sensible applications in our daily practices. With thought provoking cases provided by CFP Board and FPA members, it explores the crucial role of a fiduciary standard and its impact on the public, the practitioner and the profession as we move forward.

     

    Level of Complexity: Intermediate

    Formats Available: Rebroadcast
    Original Course Date: October 18, 2017
    On-Demand Release Date: Available Now

    Approved Credit:
  • FPA: 2.00 hours CFP CE

  • ADD COURSEADD COURSE Practicing Ethics - Applying CFP Board Standards
    Collapse Regulatory Concerns - Post Election - On Demand

    2016 FPA Annual Conference

    The DOL’s new fiduciary rule significantly broadens the scope of retirement advisors deemed to be ERISA fiduciaries which has necessitated a number of exclusions and exemptions to preserve the flow of information to plans and plan participants from their advisors who could otherwise be forced to limit their plan communications. This presentation will examine the requirements for qualifying under the new Best Interest Contract Exemption (the “BICE”), which is the centerpiece of this system of conditional dispensations. In particular, we will focus on what procedures must be followed when making rollover recommendations. Furthermore, we will review the new fiduciary rule’s failure to address certain compliance issues, such as the supervision of annuity sales, and how electoral politics may affect its interpretation.

     

    Learning Objectives

    • Learn when a written contract must be furnished to retirement clients and when other measures will be sufficient.
    • Gain insight into how the new best interest standard impacts advisor conduct, as well as the required content and permissible modes of delivery for client disclosures about compensation and other matters.
    • This session will also give you the tools to develop policies and procedures mitigating advisors’ conflicts and to implement supervisory structures ensuring these policies are carried out.

     

    Level of Complexity: Intermediate

     

    CFP Board Topics: Professional Conduct and Regulation

    Formats Available: Streaming

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Regulatory Concerns - Post Election - On Demand
    Collapse Resources for Responding to the DOL Rule - On Demand

    2017 FPA Retreat

    The DOL fiduciary rule was expected to begin being implemented on April 10th of this year. Now, much is in doubt , as the DOL recently proposed to delay the implementation date by 60 days and has sought additional comment for a new legal and economic analysis on the rule. What are the range of likely outcomes from this process and what do they mean for planners and investors?

     

    Level of Complexity: Intermediate

    Formats Available: Streaming
    Original Course Date: April 25, 2017
    On-Demand Release Date: Available Now

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Resources for Responding to the DOL Rule - On Demand
    Ethics & Professional Responsibility (No Credit)
    Collapse Elder Abuse Prevention: We All Have a Role

    Retreat 2016

    What is the current environment in Washington D.C on elder justice? Get the most recent information on new and pending legislation, as well as insights into the efforts of federal agencies (from the Consumer Financial Protection Bureau and FBI, to the Department of Health and Human Services) to prevent elder abuse.

    Learning Objective:

    Learn to implement new habits and behaviors into their work day and actually stick to them.

    Formats Available: Streaming
    Original Course Date: September 09, 2016
    ADD COURSEADD COURSE Elder Abuse Prevention: We All Have a Role
    Collapse Journal in the Round: A Closer Look In and Around the DOL Ruling

    This month's Journal in the Round features key contributors to the August Journal of Financial Planning Fiduciary Issue. Our expert panelists Blaine Aiken, Ron Rhodes and Doug Lennick will dig into the DOL Conflict of Interest Rule, sharing thoughts on its historical perspective, on preparing for the certainty and uncertainty it brings to the financial planning industry, and on ways to understand and interpret the BICE standards. Their discussion is followed by a lively Q and A moderated by Ed Gjertsen, Chair of the FPA Board of Directors and Karen Nystrom, FPA'sDirector of Advocacy.

    CFB Board topics include financial services regulations and requirements; consumer protection laws; fiduciary; 

    Level of Competency:  Intermediate

    Formats Available: Streaming, Webinar + Archive
    Original Course Date: August 31, 2016
    On-Demand Release Date: Available Now
    ADD COURSEADD COURSE Journal in the Round: A Closer Look In and Around the DOL Ruling
    Collapse Practicing Ethics - Applying CFP Board Standards
    REBROADCAST

    PLEASE NOTE THAT THIS COURSE AND CE CREDIT ARE ONLY AVAILABLE FOR THE DATE AND TIME OF THE REBROADCASTED EVENT.

     

    Beginnning with a meaningful discussion of ethical vs. moral vs. legal behaviors, this program focuses on CFP Board's Code of Ethics and Professional Responsibilities and its sensible applications in our daily practices. With thought provoking cases provided by CFP Board and FPA members, it explores the crucial role of a fiduciary standard and its impact on the public, the practitioner and the profession as we move forward.

     

    Level of Complexity: Intermediate

    Formats Available: Rebroadcast
    Original Course Date: October 18, 2017
    On-Demand Release Date: Available Now

    Approved Credit:
  • FPA: 2.00 hours CFP CE

  • ADD COURSEADD COURSE Practicing Ethics - Applying CFP Board Standards
    Collapse The Certainty of Uncertainty: Potential Effects of the DOL Ruling

    2016 FPA Annual Conference

    With the Department of Labor fiduciary ruling beginning to take effect next year, there is a lot of uncertainty within the industry about how to position oneself as an adviser in the post ruling world. In this session, attendees will learn ways to make their business stronger, less risky and more efficient and to make their value proposition more appealing to consumers.

    Learning Objectives

    • Recognize the role of understanding your and your client’s values, empathy, and emotional competence that will enable financial professionals to succeed in a post DOL rule world.
    • Prepare for the certainty of uncertainty by understanding the Smart Money Philosophy ? helping clients to get cash from a smart place when they need it? .
    • Understand the difference between advice-based fees and fee-based advice? and why one is better than the other.
    Formats Available: Streaming
    ADD COURSEADD COURSE The Certainty of Uncertainty: Potential Effects of the DOL Ruling