Ethics Training

Monday, October 17, 2022

1:00 PM EDT | 10:00 AM PDT

120 minutes

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This program fulfills the requirement for CFP Board approved Ethics CE. It has been designed to educate CFP® professionals on CFP Board's new Code of Ethics and Standards of Conduct effective October 1, 2019.

Learning Objectives:

  • Understand the structure and content of the revised Code and Standards, including significant changes from prior rules.
  • Describe CFP Board’s Fiduciary Duty.
  • Identify material conflicts of interest and how to avoid, or fully disclose, obtain informed consent, and manage them.
  • Understand the duty to report to CFP Board and the duty to cooperate.
  • Identify the practice standards when providing financial advice that requires financial planning or financial planning.
  • Understand the duty to provide information to clients when providing financial planning and/or financial advice.

Speakers

Marguerita Cheng, CFP® Headshot

Marguerita Cheng, CFP®
Founder
Blue Ocean Global Wealth

Marguerita (Rita) Cheng helps educate the public, policy makers, and media about the benefits of competent, ethical financial planning. The chief executive officer of financial advisory firm, Blue Ocean Global Wealth, Rita helps people meet their life goals through the proper management of financial resources. She is passionate about helping them navigate some of life’s most difficult issues—divorce, death, career changes, caring for aging relatives—so they can feel confident and in control of their finances. She takes pride in her ability to make a difference in people’s lives. Rita also volunteers her time as a SoleMate, or charity runner for Girls on the Run, raising money to win scholarships for girls.

Rita is a Certified Financial Planner® (CFP®) professional, a Chartered Retirement Planning Counselor, Retirement IncomeCertified Professional®., and a Chartered SRITM Counselor (CSRIC®). She is a member of the CNBC Financial Advisor Council. She is a regular columnist for Kiplinger & US News & World Report, and a past spokesperson for the AARP Financial Freedom Campaign. In addition, she serves as a Women’s Initiative (WIN) Advocate and a member of the Diversity Advisory Group (DAG) for the CFP Board. In 2022, she was named the #4 Most Influential Financial Advisor in the Investopedia Top 100. She named a Woman to Watch by Investment News in 2017.

Robert Huebscher Headshot

Robert Huebscher
CEO and Founder
Advisor Perspectives

Robert Huebscher is the founder and CEO of Advisor Perspectives and serves as its editor-in-chief. He is a frequent speaker at industry conferences and has written extensively on topics including investment management, portfolio construction, financial planning and global economics.