Breakout Session

Understanding CFP Board's Code of Ethics and Standards of Conduct

Level of Complexity: Overview

Presenter(s)

• 

  Leo Rydzewski, JD

  General Counsel
  CFP Board

CFP Board's Code of Ethics and Standards of Conduct becomes effective on October 1, 2019. CFP Board has undertaken steps to educate CFP(R) professionals on the content of the Code and Standards, and has issued guidance materials that will help CFP(R) professionals comply with the Code and Standards. CFP Board's General Counsel will discuss the Code and Standards and the guidance materials, and solicit your feedback on the additional guidance materials that you believe would be helpful.

Learning Objectives:

• Identify the structure and content of CFP Board's revised Code and Standards, including significant changes and how the changes affect CFP® professionals.
• Recognize situations when CFP Board's Code and Standards require specific information to be provided to a Client.
• When to apply CFP Board's 7-Step Financial Planning Process.