Course Information

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Code of Ethics and Professional Responsibility for Financial Planners - Fifth Edition
Author: Phillip Roitman

Description:

This comprehensive course explains key terminology, including recently modified terms, and provides in-depth analysis of related issues. Sample disclosure forms to facilitate Code compliance and practical "how to" guidance in essential areas are provided.

The course examines the cornerstone principles set forth by the Code such as integrity, objectivity, competence, fairness, confidentiality, professionalism and diligence. An extensive case study to illustrate what is acceptable conduct versus what is not acceptable conduct is provided. Suggestions for avoiding or preventing claims of misconduct, as well as ideas for contesting such claims, are addressed throughout the course. Topics covered include:

  • Purpose of the Code of Ethics
  • Composition and scope of the Code
  • Definitions of key terminology
  • Detailed analysis of the principles and rules
  • Conflicts of interest
  • Acceptable methods of compensation
  • Appropriate disclosure
  • Disciplinary rules and procedures
  • And much more

Course Details:
Price:  $45.00
Field of Study:  Ethics
Prerequisites:  None
Level:  Update
Advanced Preparation:  None
Course was last updated on:  08/04/05
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Library:
Learning Center Core
Wealth Management

Technical Requirements:
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This course has not been preapproved for continuing education credit.

Since Continuing Education requirements vary from state to state and are subject to change without notice, please contact your licensing body for information on your CPE requirements and the applicability of this course to meet those specifications.

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