Symposium Series Week 4: Ethics
Each Thursday morning during the month of October FPA NEO will be hosting a webinar as part of the Symposium Series 2020! We hope you will join us for all or some of the sessions! This week will feature Dan Candura with an ethics presentation and additional hour of ethics for those who need it.
Speaker: Daniel Candura
Topic 1 (9:00-10:45am): “CFP Ethics: New Standards for a Fiduciary World”
About topic 1: The CFP Board’s new Code of Ethics and Standards of Conduct, which guides the work of CFP® professionals, took effect on October 1, 2019 and is now enforceable by CFP Board. The new Standards add greater rigor to the CFP certification requirements, enhancing the value you bring to your clients. Using polls, videos, and case studies, a subject-matter expert will help you:
- Identify the structure and content of the revised code and standards, and grasp the significant changes
- Act in accordance with the CFP Board’s fiduciary duty
- Apply the standards in your financial planning practice
- Recognize situations when specific information must be provided to a client
- Recognize and avoid, or fully disclose and manage Material Conflicts of Interest
Topic 2 (11:00am-12:00pm): “Insurance Producers & Fiduciary Duty”
About topic 2: The course will use case studies and interactive polling to help participants understand how CFP Board’s Requirement to act as a fiduciary whenever offering advice aligns with their duties as insurance producers. The course is intended for producers who are also CFP® Professionals.
About the speaker: Daniel Candura is the founder of Candura Group, which provides ethics training in the U.S., Canada, Europe, and Australia through in-person courses and webinars. Previously he was president of PennyTree Advisers, where he provided personal financial planning for consumers and litigation support for attorneys. He holds the title of CFP BOARD EMERITUSTM. Mr. Candura taught financial, insurance, and retirement planning at the Sawyer School of Business at Suffolk University. He appeared in the PBS documentary “Retirement Revolution.” He has been profiled in The Journal of Financial Planning and quoted in numerous publications. He wrote a monthly column for Investment News concerning ethical issues for advisors. He served on the Board of Directors of The Certified Financial Planner Board of Standards and is a former chairman of the Board of Professional Review. Mr. Candura served as a CFP® Ambassador for the Boston area and a FINRA arbitrator. He is a member of the Financial Planning Association, and a retired NAPFA registered financial planner.
Up to 3 hours Continuing Education – FPA NEO will request 2 hours of ethics credit (for topic 1) from the CFP® Board of Standards for CFP® designation holders and 3 hours of ethics credit (for topics 1 and 2) from the Ohio Department of Insurance. A general certificate of completion and one for CPA designees who feel the program satisfies their continuing education requirements will also be available. You must be attentive on the webinar for at least 150 minutes of programming to receive credit. There will be periodic questions throughout to confirm attentiveness.
Reservation Policy – All attendees must register in advance to ensure there is time to receive appropriate webinar login credentials.
Pricing:
| Member | Non-member | |
| Ethics only (October 22) | $65 | $105 |
| Individual course (not ethics) | $25 | $35 |
Prior to this event you will receive GoToWebinar login instructions from admin@fpa-neo.org.
About the speaker: John Diehl is senior vice president of applied insights for Hartford Funds. He and his team are responsible for engaging and educating financial advisors and their clients about current and emerging opportunities in the financial-services marketplace. These opportunities range from tactical strategies in areas such as retirement-income planning, investment planning, and charitable planning, to anticipating and preparing for long-term demographic and lifestyle changes. John also oversees Hartford Funds’ relationship with the Massachusetts Institute of Technology AgeLab. John joined the company in 1988 and was promoted to assistant vice president in 1991 and vice president in 1997. He was named senior vice president in 2007, while he led the Retirement and Wealth Consulting Group, which was responsible for building awareness and knowledge of retirement challenges and the latest planning strategies to address them. In 2012, John was named Senior Vice President, Strategic Markets; in this role, he devotes his efforts to serving the needs of financial advisors and their clients. John has been widely quoted in consumer and trade publications such as The Wall Street Journal, Financial Planning, and On Wall Street. He has also appeared as a featured guest on CNBC and Bloomberg Television to discuss his views on retirement-related topics. John attended Moravian College in Bethlehem, Pennsylvania, where he earned a bachelor’s degree in economics. He has been a CERTIFIED FINANCIAL PLANNER™ (CFP®) since 1991. In addition, he holds the Chartered Financial Consultant (ChFC®) and Chartered Life Underwriter (CLU®) designations. He is also FINRA Series 6, 7, 63, and 26 registered and holds a life and variable insurance license.
About the speaker: Jeffery Markarian is a managing director at Harbor Capital Advisors, Inc. He is a member of the Investment & Portfolio Management team, which is responsible for the identification, evaluation, and selection of investment managers for the Harbor Funds and the Harbor Capital Group Trust. Prior to joining Harbor Capital Advisors, Jeff was a senior research consultant at NEPC, LLC. His responsibilities included serving as the lead research representative in Global, International, and Emerging Market equities. He earned a B.S. in Business Administration with a concentration in Finance from Boston University.
About the speaker: Shawn Britt, CLU®, CLTC®, has been engaged in the life insurance and long-term care industry since 1995. She joined Nationwide in 2000 and has been a member of Nationwide’s advanced sales team since 2005. Shawn has been a major influence in the development and promotion of Nationwide’s suite of long-term care product solutions. Shawn is a frequently published author of white papers and articles on long-term care for Nationwide as well as the insurance industry. She has been widely published and interviewed regarding long-term care for numerous trade publications and nationwide media that include the CLTC Quarterly Digest, The National Underwriter, Financial Advisor, Center for Long-Term Care Reform, The Wall Street Journal, CBS New Money Watch, Market Watch Radio and LifeHealthPro. Shawn is a frequent presenter and key note speaker at numerous industry events and conferences including AALU and ILTCI. She has served on the Board of Advisors for CLTC and currently serves as a CLTC contributor. Shawn also served for several years as an adjunct professor at The Ohio State University and has been recognized as an alumnus of the month by the American College.
About the Speaker: Chris Cavanagh is a sales executive with The Vanguard Group managing their Registered Investment Advisor relationships throughout the Midwest. Prior to joining Vanguard in 2011, Chris was a vice president with Goldman Sachs and also spent time working with Alliance Bernstein and Merrill Lynch. He has over 25 years of industry experience and holds the Series 7 and 63 licenses, and attained the CIMA designation in 2007. Chris grew up near Vanguard’s headquarters in PA and earned a bachelor’s degree in Business from Franklin & Marshall College. He now resides in Westerville, Ohio.
About the Speaker: Mike Del Prince is a Territory Manager at Nationwide Advisory Solutions. He holds his CFP® Certification, CLU® Designation, FINRA Series 6 and 63 Licenses, as well as his Kentucky Life Insurance License. Mike graduated from Centre College in Danville, KY where he earned his B.A. in Economics with a minor in Studio Art and was a member of the Centre College football team. Mike is married to his wife Brittney and they have two young children; Francesca and Vincent. They enjoy cooking and spending time outdoors.