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A. Professional Conduct and Regulation

This class was created by Brainscape user Neil Knight. Visit their profile to learn more about the creator.

By: Neil Knight
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Decks in this class (7)

CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct
What is meant by the term profess...,
What activities will generally le...,
What is meant by the term integri...
17  cards
CFP Board's Financial Planning Practice Standards
Identify the practice standard s ...,
Describe what is required of a cf...,
What are the four es 3
20  cards
CFP Board's Disciplinary Rules and Procedures
Loaning money to a client is subj...,
What two groups within cfp board ...,
Where is a public letter of admon...
13  cards
Function, Purpose, and Regulation of Financial Institutions
0  cards
Financial Services Regulations and Requirements
0  cards
Consumer Protection Laws
What federal act was designed to ...,
This is the legal process of repa...,
Describe the types of assets that...
10  cards
Fiduciary
This standard of care sets a mini...,
A _______________________ is some...,
When will a financial planner who...
10  cards

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A. Professional Conduct and Regulation

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