CFP - STUDENT INSTRUCTIONS/GENERAL INFORMATION
This is an online self-paced, continuing education course for CFP® professionals, CFP® Board's Revised Code and Standards.
The course is divided into seven sections:
- Unit 1: Course Overview
- Unit 2: Understand the structure and content of the revised Code and Standards, including significant changes from prior rules.
- Unit 3: Describe CFP Board's Fiduciary Duty.
- Unit 4: Identify Material Conflicts of Interest and How to Avoid, or Fully Disclose, Obtain Informed Consent, and Manage Them.
- Unit 5: Understand the Duty to Report to CFP Board and the Duty to Cooperate.
- Unit 6: Identify the Practice Standards When Providing Financial Advice that Requires Financial Planning or Financial Planning
- Unit 7: Understand the Duty to Provide Information to Clients When Providing Financial Planning and/or Financial Advice.
Upon completion, all students will receive a course completion certificate and 2 Hours ETHICS education
credit. Cal-State Exams, Inc. will submit your course completion credits directly to the CFP Board
(We report the course credit hours once a week, every Wednesday)
Students upon enrollment will have 6 months to complete the course. If the course has not been
completed within six (6) months of enrollment, the student must re-enroll and begin the course over
again to complete the course. IN NO CASE MAY, THE PERIOD OF ENROLLMENT EXTEND BEYOND SIX (6) MONTHS.
If the student has not completed the course within 6 months from the original date of enrollment, the
enrollment expires. The student may re-enroll under such circumstances for a discounted re-enrollment
fee of $40.00 per course.
Students may be disqualified to complete this course, if the student is found to be violating rules deliberately;
and is acting dishonestly. And of course, does not spend the minimum times reading and going over the exercises
and case studies in the allotted time.
This course is online self-study. This means that you will guide yourself through the reading material, exercises
&/or case studies in each unit. The course should be taken in a quiet, distraction-free area. You are expected to
do your own work and you should not give or receive unauthorized assistance. Any violation of this standard could
lead to the automatic withdrawal from the course without credit or refund.
HOW TO RECEIVE CREDIT FOR THE COURSE:
To receive credit for the course, participants should spend at least the minimum amount of time (designated per screen-page) on each module and obtain 70% or better on the final review assessment.
The Self-study Ethics program presentation is timed to the required 120 minutes. On a 50-minute hour, and includes time allocated for exercises, case studies and the exam.
STUDYING and READING:
Before reviewing any course material online, You will be required to acknowledge, under penalty of perjury, that you are the person enrolled, and you will be the only person to complete the course.
This course consists of 2 Study Hours, which includes reading 7 units of study, and Reviewing the Exercises and Case Studies. UNITS are broken down into several screen pages.
To move to the next screen page, you shoould read and understand the content of each page. Click on the "Next" button to proceed.
If you need to take a break, please click on the "Paused" option, on the top area of the screen window to save your place on the screen-page you are reading. If you simply leave the reading open, you will be timed out for inactivity, and required to restart the unit.
Once you have completed each unit, you will have access to reviewing the information in that unit; and any others you have gone through (reading, studying, and reviewing the exercise(s) &/or case studies unit)
- WE will present one (1) Unit at a time to you, letting you progress to subsequent Units
as you complete each of the corresponding Inquiry Periods.
- WE will provide Review Questions, aka Inquiry Periods at the end of each Unit.
- WE will generate a different set of inquiries for the Unit,
which may be repeated as necessary on a random or rotating basis
if you do not achieve the correct response rate necessary to
complete the current Unit Inquiry.
- WE will have a means to reasonably authenticate your
identity on a periodic basis, including upon entering, during, and exiting
the course study system.