Collaborative Event with East Valley Estate Planning Council

  • Wednesday, April 18, 2018
  • 7:00 AM - 8:30 AM
  • Mesa Country Club: 660 W Fairway Drive Mesa AZ 85201


  • At the Door Rate
  • At the Door Rate

Registration is closed

Our Lifelong Learning Committee brings you


"The Sticky Ethical Wickets in 

Estate and Financial Planning"


Dr. Marianne Moody Jennings

Emeritus Professor of Legal and Ethical Studies


Program Description:
There are statutory duties, there are codified ethical responsibilities, and then there are the realities of relatives, temptation, fiduciary confusion, and client capacity.  A look at the ethical issues that arise the most and those that create the most difficulties and how to use a structured decision-making model in evaluating what you need to do when caught in the wickets. 
Learning Objectives:

  • Review a current overview - and then specific instances - of professional ethical violations among Arizona estate, investment, tax and financial planning professionals.
  • Understand how and where lapses of ethics in professional practice are most likely to occur
  • Discuss situations and business practices and models and their impact on ethical professional practice.
  • Identify relevance to the Fiduciary Standard and the Fiduciary Rule

Registration opens: 7:00am

Speaker Presentation:  7:30am

Adjourn:  8:30am

Note:  This program cannot be submitted for CFP(R) CE credit, as it does not follow the specific learning objectives required by the CFP(R) Board of Standards for CFP(R) Ethics Credit.  Many of our members have noted, tongue in cheek, that attending board approved required Ethics courses has much to do with discussing rules and processes, but very little to do with Ethics.  This program is delightfully, usefully truly about Ethics...

This program may qualify for continuing legal education Ethics credit.

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