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11.16.2023 - Ethics

Attendees Rating:

Excellent (95%)
Average (5%)
Below Average (0%)

Missy Davis

Thu, 11/30/2023 - 15:22

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.
Ethics CE for CFPs
Presented by Tom Duffy, CFP®, 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:

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.