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Professional Responsibility CE Offering

Your Opportunity to Develop CE for the New Professional Responsibility Requirement

Effective January 1, 2015, FPSC has added a new category Professional Responsibility, to the Continuing Education (CE) requirements for CFP® professionals and FPSC Level 1® Certificants in Financial Planning. 

CFP professionals and FPSC Level 1 certificants will be required to complete a minimum of one hour of CE in the newly created category of Professional Responsibility, which relates to the FPSC® Code of Ethics, FPSC® Rules of Conduct and FPSC® Financial Planning Practice Standards. This minimum one hour requirement is included in the overall annual CE requirement of 25 credits for CFP professionals and 12 credits for FPSC Level 1 certificants.

Some of the benefits of developing the Professional Responsibility that you may want to take into consideration include: 
  • An opportunity to be part of our program which markets directly to CFP professional and FPSC Level 1 certificant communities. There are more than 19,000 individuals certified with FPSC who will be required to take a course in the area of ethics, yet currently a limited number of qualifying CE activities are available.
  • You can set your organization apart as an educator that understands and effectively teaches ethics in financial planning. 
  • An opportunity to create innovative new educational content to engage with this dedicated audience – in 2015 and beyond.

Professional Responsibility CE Offering Requirements

Content must map back to the FPSC Code of Ethics, FPSC Rules of Conduct or FPSC Financial Planning Practice Standards which can all be found in the Standards of Professional Responsibility for CFP® Professionals and FPSC Level 1™ Certificants in Financial Planning.

Qualifying CE activities must:

  • Focus on the application of FPSC’s Standards of Professional Responsibility in practice, versus a review and explanation of the Standards of Professional Responsibility in and of themselves which may commonly be delivered by such means as discussion, debate, storytelling, case studies and role-plays with the purpose of guiding FPSC certificants in the face of what may be difficult ethical decisions or challenges of practice.
  • Incorporate key adult learning principles that engage learners in interactive activities, such as role-plays, case studies, debate or expert panel discussions on ethical issues based on the learners’ own personal experiences. 
  • CE activities should address how the learning can be generalized to future client interactions.
Please note the following characteristics of offerings that would not meet the ethics requirement: 
  • Where there is a focus on information transfer vs. application of knowledge. Students may be reading or listening but not involved in higher-order thinking (analysis, synthesis, evaluation) and where they are not applying knowledge to real-world examples of ethical dilemmas CFP professionals face.
  • Where there is a lack of opportunity for learners to engage with the content in order to demonstrate their appreciation of the FPSC Code of Ethics, FPSC Rules of Conduct and Practice Standards in a way that they could apply in their day-to-day financial practice (practical activities are not utilized).

FAQ: Professional Responsibility CE Requirements

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