Gain the knowledge and insights needed to navigate ethical challenges confidently and uphold the highest standards of integrity in your practice.
In a world where trust is paramount and financial security is a universal pursuit, the cornerstone of responsible financial planning lies in adhering to a robust code of ethics. Embark on a transformative exploration of ethical standards that underpin every facet of financial planning. From fiduciary responsibilities to client confidentiality, this webinar illuminates the ethical imperatives that safeguard both client interests and professional integrity. Discover the profound impact of ethical decision-making on long-term client relationships, regulatory compliance, and the overarching reputation of the financial advisory profession. Whether you’re a seasoned advisor or an aspiring professional, this webinar promises to equip you with the knowledge and insights needed to navigate ethical challenges confidently and uphold the highest standards of integrity in your practice.
Learning Objectives
- You will be able to discuss the significance of the fiduciary duty in financial planning and how it mandates advisors to prioritize client interests above all else.
- You will be able to identify best practices for handling sensitive information ethically, ensuring the utmost discretion and protection of client data.
- You will be able to describe the essence of transparency in financial planning, including the obligation to provide clients with clear, comprehensive information about services, fees, and potential conflicts of interest.
- You will be able to explain ethical frameworks and practical strategies for resolving conflicts ethically, maintaining professional integrity, and upholding the credibility of the financial planning profession.
Agenda
Fiduciary Duty and Client-Centric Approach
- The Significance of the Fiduciary Duty in Financial Planning
- Strategies to Uphold a Client-Centric Approach
Confidentiality and Privacy Safeguards:
- Maintaining Confidentiality and Preserving Client Privacy in Financial Planning Engagements
- Best Practices for Handling Sensitive Information Ethically
Transparency and Full Disclosure:
- The Essence of Transparency in Financial Planning
- The Nuances of Full Disclosure and Its Role
Professional Integrity and Ethical Decision-Making
- Insights Into the Ethical Dilemmas That Financial Planners Encounter
- Ethical Frameworks and Practical Strategies for Resolving Conflicts Ethically
Speakers
Drew Stevens, Ph.D.,
Stevens Consulting Group- President of Stevens Consulting Group
- 33 years of true sales experience
- Author of the successful sales process books - Split Second Selling and Selling the Norm, Split Second Customer Service; as well as 10 other books
- Creator of the Sales Leadership Certificate, one of only 64 programs in the United States offering an accredited degree in the profession of selling
- Has a top ranked podcast - Sales Acceleration
- Works with organizations and individuals that struggle and transforms them into wealthy professionals
- Leading international keynote speaker and is often requested by the media
- Over 2800 articles in sales and customer service, 45 audios and over three decades of revenue experience
Who Should Attend
This live webinar is designed for wealth managers, investment brokers, financial planners, stock brokers, estate planners, attorneys, presidents, vice presidents, CPAs, CFPs, and other financial executives.
