PFFP 406 Professional Conduct and Fiduciary Responsibility

This course is designed to introduce students to an overview of the ethical, legal, and fiduciary environment in financial planning and wealth management. It is based on the assumption that financial planning, like business and law, is a profession whose practitioners carry out an important role not only in the financial planning industry, but also in society in general. As individuals enter the profession, they take on a distinctive set of responsibilities that go with the role. The purpose of the course is to provide students a pragmatic understanding of professional conduct, ethics, and fiduciary responsibility, and to provide students an array of functional tools to meet the expected standards of the industry.