Breakout Session

How Do You Comply? The CFP Code and Standards

Level of Complexity: Overview

Panel Moderator(s)

• PB

  Paul Brahim, CFP®

Presenter(s)

• 

  Leo Rydzewski, JD

  General Counsel
  CFP Board
• 

  Blaine Aikin, CFP®, CFA, AIFA®

  Executive Chairman
  fi360, Inc.

In this session, participants will gain a better understanding of what compliance issues financial planners are concerned about. Diving into the details of the Code and Standards, the panelists will focus on audience questions and provide immediate feedback on the issues that concern them. (Please note this session does not meet the CFP Board Code of Ethics CE requirement.)

Learning Objectives:

• Explain the changes to principles of the Code of Ethics and Professional Responsibility, which are ethical and professional ideals of CFP® professionals.
• Apply the Rules of Conduct as they relate to being a CFP® professional.