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Upon successful completion of the program, the attendee should be able to:

  • Define and discuss a financial planning engagement, material elements of financial planning, and the financial planning process.
  • Analyze specific fact patterns to determine if a financial planning relationship exists.
  • Differentiate between the standards of care set forth in Rules 1.4 and 4.5 of the Rules of Conduct, and apply each standard of care to specific factual situations.
  • Apply each Practice Standard set forth in the Financial Planning Practice Standards to a hypothetical financial planning engagement.
  • Identify the information that must be disclosed to the client in writing by a CFP® professional who is engaged in a financial planning relationship or providing material elements of financial planning.
  • Define the required information that must be disclosed to clients and prospective clients, when that information must be disclosed, and apply each disclosure requirement to specific factual situations. (This includes but is not limited to the compensation and conflict-of-interest disclosure requirements set forth in Rule 2.2 of the Rules of Conduct and Practice Standards 100-1, 400-3, and 500-1.)