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 CE CREDIT IS ONLY AVAILABLE FOR THE LIVE REBROADCAST OF THIS EVENT.
Beginning with a meaningful discussion of ethical vs. moral vs. legal behaviors, this program focuses on CFP Board's Code of Ethics and Professional Responsibilities and its sensible applications in our daily practices. With thought provoking cases provided by CFP Board and our members, it explores the crucial role of a fiduciary standard and its impact on the public, the practitioner and the profession as we move forward.
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
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