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Virtual Ethics CE: Financial Planner's Ethical Success
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Virtual Ethics CE: Financial Planner's Ethical Success

 Export to Your Calendar 6/1/2020
When: Monday, June 1, 2020
5:30 - 7:30 P.M. ET
Where: Virtual via Zoom Meeting
United States

Online registration is available until: 6/1/2020
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Join us online for the chapter's Annual Ethics CE Meeting.

Ethics CE is going virtual! 


Join your FPA of Metro New York peers and highly acclaimed instructor Jeff Rattiner, CPA, CFP®, MBA (known for his lively, conversational teaching style) for Financial Planner’s Ethical Success®, a program designed to provide a practical approach to learning the ethical standards of professional conduct and responsibility in an interactive format through the use of real-life scenario cases.


This session will:

  • Review the new learning objectives;
  • Determine the elements of fiduciary standards and when they apply;
  • Learn the revisions made to the Code which will become enforceable on June 30, 2020;
  • Experience practical examples on how to apply these concepts;
  • Gain an understanding on the purpose of the Code and how it affects you as a CFP® professional;
  • Develop a re-understanding of the Code; 
  • Determine how to act and react in abiding by the Code;
  • Provide guidelines to help you determine if financial planning or financial advice are being provided;
  • Help you determine when to communicate potential conflicts of interest;
  • Explain compensation disclosure requirements to clients and potential clients;
  • Review, interpret, and apply the principles, rules, practice standards and other critical elements of the Code of Ethics and Standards of Conduct.

After this two-hour session, you will have a strong idea of the dos and don’ts of working with your clients ethically.

CFP Board Ethics CE programs registered with CFP Board, under Financial Planning Institute, LLC, now must be designed to accomplish the following required learning objectives.

Learning Objectives: By the end of this session, attendees will be able to grasp the new learning objectives that will become enforceable June 30, 2020.
  1. Identify the structure and content of the revised Code and Standards, including significant changes and how the changes affect CFP® professionals. 
  2. Act in accordance with CFP Board’s fiduciary duty.
  3. Apply the Practice Standards when providing Financial Planning
  4. Provide the Client all required information.
  5. Recognize and avoid, or fully disclose and manage, Material Conflicts of Interest. 





Jeff Rattiner, CPA, CFP®, MBA, educates financial advisors on how they can prepare for the CFP® Certification Examination through his nationally recognized “Rattiner’s Financial Planning Fast Track®” program, which has won critical acclaim as the cover story in the December 2001 issue of Financial Planning Magazine and the October 2009 issue of The Register.  He also educates CPAs on financial planning issues.  His lively and entertaining teaching style has served professionals well for over 31 years.  His classes have been held at New York University, The American College, University of California, Metropolitan State University of Denver, The Ohio State University, and Arizona State University, and at dozens of financial service companies nationwide.  

Mr. Rattiner authored "Rattiner’s Review for the CFP Certification Examination", “Rattiner’s Financial Planner’s Bible”, and “Personal Financial Planning for Divorce” for John Wiley; “Getting Started as a Financial Planner” for Bloomberg Press; Financial Planning Answer Book for CCH; “Adding Personal Financial Planning to Your Practice” for AMA; and “Personal Financial Planning Library” for Harcourt Brace. 

He has been the editor of several prominent technical journals including Personal Financial Planning and Financial Advisory Practice for Warren Gorham and LaMont, Financial Planning Digest for Harcourt Brace, Audio Financial Planning Report for Totaltape (Bisk) Publishing Company, Financial Planning Monthly Journal for Aspen Publications, The Planner for the AICPA, and was a columnist for Financial Planning and Financial Advisor magazines.


A financial planning and tax practitioner in Arizona and Colorado, he has been the Director of Professional Development and Corporate Sponsorship for the Institute of Certified Financial Planners (ICFP), was employed as the Director of Technical Standards for the Certified Financial Planner Board of Standards (CFP Board), and employed as Technical Manager in the Personal Financial Planning (PFP) Division of the American Institute of Certified Public Accountants (AICPA) in New York City. 



This program has been accepted by CFP Board for 2 CFP® CE credits for Ethics. Our meeting CE sponsor is Financial Planning Institute, LLC.



FPA Members: Free




*We are committed to continue providing high quality CE programming without interruption to our FPA of Metro New York members and community. For the foreseeable future, all chapter continuing education meetings, committee meetings, and study group sessions will be held virtually in line with recommendations from the Center For Disease Control (CDC), New York State, and New York City authorities. 




Financial Planning Association of Metro New York

535 Fifth Avenue, 4th Floor
New York, NY  10017

Phone: 800-322-4237 ext. 7187



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