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, Live Webcast
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 Ethics CE: CFP Board

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


    This program fulfills the requirement for CFP Board approved Ethics CE. It has been designed to educate CFP® professionals on CFP Board's new Code of Ethics and Standards of Conduct effective October 1, 2019.


    Level of Complexity: Intermediate

    Formats Available: Event
    Original Course Date: November 13, 2019

    Approved Credit:
  • FPA: 2.00 hours CFP CE

  • ADD COURSEADD COURSE Ethics CE: CFP Board
    Collapse Journal in the Round: Deconstructing the SEC

     

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

    Join the contributors of September's Journal of Financial Planning, Kevin L. Walsh and David N. Levine with Groom Law Group, as they continue to discuss the SEC's new rule package and main components of Reg BI. During this online, interactive roundtable, Walsh and Levine will explain how to meet the best interest standard through the component obligations, how the package impacts financial planners and their clients, and more. This program includes 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: 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
    Collapse SEC Regulation Best Interest: What It Means for Financial Planners


     

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

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

    If you didn't have time to read the 770-page rule and explanations for the new SEC Regulation Best Interest rule, FPA has got you covered. The law firm of Carr Butterfield, LLC, will break down the intricacies of Regulation Best Interest and what it means for financial planners. This program is the first in a series of SEC programs that FPA will present to its members.

    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: Live Event + Archive
    Original Course Date: September 19, 2019

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE SEC Regulation Best Interest: What It Means for Financial Planners
    Collapse Streamlining Compliance of SEC

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

    THIS COURSE IS FREE TO FPA MEMBERS 
    Not a member? Join FPA to gain access to this course, plus many more, for free. 


    In this on-going live webinar series created especially for FPA members who are CFP® professionals, our panel of experts will help participants understand some similarities and differences between RegBi and the SEC changes to RIA standards, and the CFP Code and Standards with the goal of identifying the work needed to comply and the steps necessary to streamline both processes into one. The panel will first focus on an overview of both standards, diving into a side-by-side comparison of similarities and differences and then provide action-oriented guidelines for compliance. An interactive session, moderator Paul Brahim will lead the discussion and field audience questions throughout.
     

    Level of Complexity: Intermediate

    Formats Available: Live Event + Archive
    Original Course Date: November 12, 2019

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Streamlining Compliance of SEC
    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
    ADD COURSEADD COURSE A Deep Dive in the SEC