Break Out Sessions

“Financial Planning Regulatory Landscape”

A review of the current regulatory landscape for financial planners is currently being undertaken by the Ontario government. The Expert Committee appointed by the Government has released it interim report and is currently consulting in preparation for its final report. Stephen Rotstein, VP, Policy & Regulatory Affairs & General Counsel, FPSC, will provide an update on the potential regulatory issues coming out of the Committee’s work and what this means for educators and future financial planning professionals.

“Building Out the Body of Knowledge for Financial Planning” – Joan Yudelson

Educators have long been seeking greater clarity of the knowledge expected of financial planning professionals in developing their programs and course syllabi. Ryan Laverty, Director, Content, FPSC® will provide details on the progress that has been made by CFP® professionals in building out the Body of Knowledge for Financial Planning. He will update on the development process and the outcomes in terms of knowledge expectations of financial planning professionals. Steve Bang of Humber College will facilitate a discussion with educators about the value and relevance of the Financial Planning Body of Knowledge in the delivery of your Core Curriculum programs and courses.

“Professionalism in Practice – Confidentiality, Conflicts and Professionalism” – Damienne Lebrun-Reid
FPSC’s Director, Standards and Enforcement will introduce and highlight the recently disseminated Guidance to the FPSC Rules of Conduct. In addition, through case study review and drawing on actual complaints, we will examine the provisions of the Standards of Professional Responsibility that speak to the professional obligations of disclosure and mitigation of conflicts of interest as well as inadvertent disclosure of confidential information with a focus on professionalism. We will examine the disclosure obligations relating to potential and existing conflicts of interest in Rule 8 and Rule 8.1, and how anticipating and addressing potential conflicts proactively and early will: protect the CFP professional, build client trust and ultimately help avoid a crisis (and complaint). We will also examine scenarios to be mindful of, as a professional.

“FPSC Examinations: Process, Sample Responses, and Key Examinations Tips” – Isabelle Gonthier, Susan Priest, Roxanne Eszes

FPSC’s Examinations team will provide performance trends for the FPSC Level 1® Examination in Financial Planning and the CFP® Examination from the previous exam administrations and information on the development process for each exam. Examples of constructed-response questions, including scoring rubrics and sample candidates’ answers, will be provided, with details on the scoring process. Reminders around valuable information to relay to students for success will also be provided.