CFP Ethics: Code of Ethics and Standards of Conduct

This program fulfills the requirement for CFP Board approved Ethics CE. This program is designed to educate CFP® professionals on CFP Board’s Code of Ethics and Standards of Conduct, which is effective July 1, 2024. In a profession built on personal and financial guidance, ethical behavior ensures that clients feel safe, respected, and served in their best interest. Understanding and applying ethical principles is essential at every stage of your career.

LEARNING OBJECTIVES

• Recognize when you are 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

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