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
    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
    Ethics & Professional Responsibility (No Credit)
    Collapse Journal in the Round: Voices of the Profession on SEC Proposed Rules

    A cornerstone of any profession is the willingness of those in the profession to have their voices heard on those policies that impact them, their businesses and their clients. Join our panel of advocacy experts and FPA volunteers that represent the FPA Member Advocacy Council (FPA MAC), and FPA Legislative and Regulatory Issues Committee (LRIC) as they will discuss how these groups participated in organizing and composing the Financial Planning Coalition’s public comment on the proposed SEC regulatory package. This panel discussion incorporates August's regulatory update and fiduciary theme of the Journal of Financial Planning. It will include an audience Q and A, and be moderated by an FPA volunteer.

    Level of Complexity: Overview

    Formats Available: Streaming, Live Event + Archive
    Original Course Date: August 29, 2018
    On-Demand Release Date: Available Now

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Journal in the Round: Voices of the Profession on SEC Proposed Rules