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Professional Responsibility CE Requirements

The Professional Responsibility requirement is designed to support and expand your knowledge of your professional duties and challenges, providing approaches for identifying and addressing common ethical dilemmas faced in practice. A strong professional standard, including universal adherence to a code of ethics, rules of conduct and practice standards, is the hallmark of any profession. This annual requirement benefits both practitioners and society and is an essential element of your commitment to clients that their interests are being served ethically, competently and diligently.

Qualifying Continuing Education (CE) requires the application of FPSC’s principles and rules outlined in the Standards of Professional Responsibility for CFP® Professionals and FPSC Level 1® Certificants in Financial Planning (Standards of Professional Responsibility) to scenarios or examples of ethical dilemmas that financial planners encounter in practice. Qualifying CE must include specific application of the FPSC® Code of Ethics and FPSC® Rules of Conduct. CE must include application and demonstrated understanding of the Standards of Professional Responsibility. Content that focuses only on direct knowledge or rote memorization of the Standards of Professional Responsibility will not qualify. 

Examples of a Professional Responsibility CE credit

Qualifying:   

  • In-person workshop where participants review examples of ethical dilemmas that financial planners may encounter in practice and how the FPSC® Code of Ethics and FPSC® Rules of Conduct would apply.
  • Online, self-directed course where learners are asked to review examples of ethical dilemmas that financial planners may encounter in practice and are asked to contemplate, through interactive online activities or assessment, how the FPSC® Code of Ethics and FPSC® Rules of Conduct apply.

Non-qualifying:

  • In-person compliance workshop that provides an update on the regulatory environment and outlines mutual fund and securities regulation for advisors, but does not apply the FPSC® Code of Ethics and FPSC® Rules of Conduct to examples or scenarios of ethical dilemmas faced in practice.
  • Online, self-directed course that presents and explains the FPSC® Code of Ethics and FPSC® Rules of Conduct but does not apply them to examples or scenarios of ethical dilemmas that advisors may encounter in practice.

FAQ: Professional Responsibility CE Requirement 

If you have a question that has not been answered above, please contact us at ceconnection@fpsc.ca, 416-593-8587 or 1-800-305-9886.


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