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Webinar Replay

09.15.2022 - Ethics

Attendees Rating:

Excellent (89%)
Average (11%)
Below Average (0%)

Missy Davis

Fri, 09/16/2022 - 14:02

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Comments
A few comments from listeners:

I think it was one of the least painful ethics classes. Good combination of graphics, polling questions with cases, videos from CFP.
- Lauren D.

Easy to follow, good pace, informed presenter. Thank you!
- Amy J.

The format was very helpful in keeping participants engaged - frequent case studies.
- Michael D.

Great pace and format. This is important information and Tom did a great job communicating the key takeaways. Thank you.
- Dolores D.

djezdoesit

Sun, 11/20/2022 - 22:01

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Comments
Great presentation thank you!
CFP Approved Ethics CE Program
Presented by Thomas J. Duffy, CFP®, MBA, CRPC, Jersey Shore Advisors, LLC
Tom Duffy

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. 

A Few Resources:

https://www.cfp.net/ethics/compliance-resources/2019/11/a-cfp-professional-firms-sales-related-compensation

 

https://www.cfp.net/ethics/compliance-resources/2019/11/applying-the-fiduciary-duty-to-client-instructions-that-conflict-with-the-duty-of-care

 

https://www.cfp.net/ethics/compliance-resources/2019/10/the-duty-to-follow-a-clients-instruction-to-use-a-specific-firm-for-execution

 

https://www.cfp.net/ethics/compliance-resources/2019/11/the-fiduciary-duty-and-an-a-share-class-recommendation

 

https://www.cfp.net/ethics/compliance-resources/2019/11/the-duty-to-disclose-and-manage-material-conflicts-of-interest-involving-proprietary-products

 

https://www.cfp.net/ethics/compliance-resources/2019/10/the-duty-to-disclose-material-conflicts-of-interest-when-recommending-a-product-issued

 

https://www.cfp.net/ethics/compliance-resources/2019/10/the-duty-to-disclose-material-conflicts-of-interest-when-responding-to-a-clients-investment-inquiry

 

https://www.cfp.net/ethics/compliance-resources/2019/10/the-duty-to-disclose-material-conflicts-of-interest-when-making-a-rollover-recommendation

 

https://www.cfp.net/ethics/compliance-resources/2020/06/duty-to-report-information-to-cfp-board-and-duty-to-cooperate-with-cfp-board-investigations

 

https://www.cfp.net/ethics/compliance-resources/2020/07/case-study-interpreting-the-practice-standard-for-identifying-and-selecting-goals

 

https://www.cfp.net/ethics/compliance-resources/2020/07/case-study-interpreting-the-practice-standard-for-implementing-the-financial-planning-recommendation

 

https://www.cfp.net/ethics/compliance-resources/2019/11/the-delivery-of-firm-research-does-not-constitute-financial-advice

 

https://www.cfp.net/ethics/compliance-resources/2020/06/compliance-checklist-financial-advice-engagements-and

 

https://www.cfp.net/ethics/compliance-resources/2020/06/compliance-checklist-financial-planning-engagements

 

Attendees Comments:

Missy Davis
A few comments from listeners:

I think it was one of the least painful ethics classes. Good combination of graphics, polling questions with cases, videos from CFP.
- Lauren D.

Easy to follow, good pace, informed presenter. Thank you!
- Amy J.

The format was very helpful in keeping participants engaged - frequent case studies.
- Michael D.

Great pace and format. This is important information and Tom did a great job communicating the key takeaways. Thank you.
- Dolores D.
djezdoesit
Great presentation thank you!