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)
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.
Please note that CE is only available for the live presentation
Join this month's contributor to the Journal of Financial Planning, Steve Niehoffof 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.
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.
Learn to implement new habits and behaviors into their work day and actually stick to them.
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
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