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This course satisfies CFP Board's 2-hour Ethics continuing education requirement. An 80% or higher score on the end-of-course exam is required. This course covers the following learning objectives:
Presenter: Jim Pasztor, CFP®, MPAS®, MSF Jim Pasztor, vice president of academic affairs at the College for Financial Planning, is also involved with several of the College's investment courses and the white paper series. He is a CFP® practitioner, and has earned the MPAS® designation and an MSF degree in Financial Analysis, both from the College for Financial Planning. Jim is a member of NAPFA, FPA, IMCA, and the CFA Society of Colorado, and was awarded the 2014 Edward D. Baker III award from IMCA for his paper "Endogenous Risk and Dangers to Market Stability."
- Define elements of the fiduciary standard.
- Determine when the fiduciary standard applies in a variety of financial planning contexts and scenarios.
- Determine if a CFP® professional is providing financial planning services or material elements of financial planning services.
- Explain CFP Board's compensation disclosure requirements to clients and prospective clients.
- Communicate any potential conflicts of interest to a client at the initiation of client engagement.
Complexity Level: Intermediate