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 Elder Fraud & Financial Health - On Demand
Note: Does Not Satisfy CFP Boad Ethics Requirement

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
    Ethics & Professional Responsibility (No Credit)
    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: OnDemand - No Credit
    Original Course Date: August 30, 2017
    ADD COURSEADD COURSE  Journal in the Round: A Procrastinator
    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: Preventing Financial Exploitation of Senior Clients

    PLEASE NOTE THAT CE CREDIT IS ONLY AVAILABLE FOR THE LIVE PRESENTATION OF THIS PROGRAM

    In this month's Journal in the Round, our panelists John Renner and Robert Mauterstock will be discussing the implications of the new FINRA regulation, effective February 2018, regarding required protections for the most vulnerable senior clients.  The discussion and audience Q and A will be moderated by an FPA  host Bill Harris.

    Level of Complexity: Intermediate

    Learning Objectives

    Describe new and amended FINRA Rules 2165 and 4512  to protect the elderly 
    Explain the reporting and compliance issues that will impact financial planners
    Discuss the importance of laws to the planner-client relationship

     

    Formats Available: Streaming, Webinar + Archive
    Original Course Date: January 31, 2018
    On-Demand Release Date: Available Now

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Journal in the Round: Preventing Financial Exploitation of Senior Clients