Ethics CE for CFPs
Guest Expert: Tom Duffy, CFP®, Jersey Shore Advisors, LLC
Date:
Webinar Replay Description
Listen to Tom Duffy, CFP® for an interactive presentation full of real-life client scenarios that will help you better understand how you can meet your ethical requirements.
Comments
When listeners asked what they learned from the webinar, they responded:
That talking about general market isn't giving financial advice. Recommending buying and selling of financial products is.
- James R.
When to terminate or discontinue a financial planning discussion. also what constitutes financial advise, clarification on 'fee based'
- Tracy T.
You are not fee only if you receive any sales-based compensation. It's important to reveal any conflicts of interest to clients. The fiduciary duty does not apply if you are not providing financial advice.
- Stephen F.
It was very comprehensive and there were good real-world application examples given.
- John T.
The examples were very good. This was the best CFP Ethics I have ever taken.
- Heidi D.
That talking about general market isn't giving financial advice. Recommending buying and selling of financial products is.
- James R.
When to terminate or discontinue a financial planning discussion. also what constitutes financial advise, clarification on 'fee based'
- Tracy T.
You are not fee only if you receive any sales-based compensation. It's important to reveal any conflicts of interest to clients. The fiduciary duty does not apply if you are not providing financial advice.
- Stephen F.
It was very comprehensive and there were good real-world application examples given.
- John T.
The examples were very good. This was the best CFP Ethics I have ever taken.
- Heidi D.
11.16.2023 - Ethics
Attendees Comments:
That talking about general market isn't giving financial advice. Recommending buying and selling of financial products is.
- James R.
When to terminate or discontinue a financial planning discussion. also what constitutes financial advise, clarification on 'fee based'
- Tracy T.
You are not fee only if you receive any sales-based compensation. It's important to reveal any conflicts of interest to clients. The fiduciary duty does not apply if you are not providing financial advice.
- Stephen F.
It was very comprehensive and there were good real-world application examples given.
- John T.
The examples were very good. This was the best CFP Ethics I have ever taken.
- Heidi D.