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Assignment #2 PDF
Assignment #2 PDF
ASSIGNMENT #2
PROFESSIONAL STANDARDS & THE FINANCIAL SERVICES INDUSTRY
Due: Thursday February 6th – typed, printed, stapled, handed in first thing.
The purpose of this group assignment is to research and analyze the link between the code of ethics,
rules of conduct and financial planning practice standards.
Specific emphasis will placed on ethical principles and rules in the financial planning industry;
specifically governed by the Financial Planning Standards Council. Utilizing this research and analysis
you are required to write no longer than an eight page document.
The assignment is to be submitted as a hard copy meaning; typed, printed and stapled at the beginning
of the class.
Your primary resource for this assignment is the (CFP) code of ethics, Rules of conduct and financial
planning practice standards for the Financial Planning Standards Council (FPSC) which is provided to
you below:
http://www.fpsc.ca/docs/default-source/FPSC/standards-and-
enforcement/standards_of_professional_responsibility.pdf#page=8;
You may also use your BFIN 380/382 textbook as a resource, but you may not USE examples from the
text in your answers.
Please ensure all work is cited properly using APA citation methods.
1 School of Business
© 2016, Southern Alberta Institute of Technology
FINANCIAL PLANNING PROCESS AND ESTATE PLANNING
1. Write a two page summary evaluating “Why it is important for Financial Planners to follow the code
of ethics, rules of conduct and financial planning practice standards”?
a. Approach this question from the point of view of the financial planner, the client, the company
for which the financial planner works for and the financial planning industry as a whole.
b. This section of the assignment should be written in paragraph format.
c. This section of the assignment is worth 16 marks
2 School of Business
© 2016, Southern Alberta Institute of Technology
FINANCIAL PLANNING PROCESS AND ESTATE PLANNING
8-11 marks critical thinking, analysis, completeness of response evident and average
4-6 marks critical thinking, analysis, completeness of response requires additional effort
8-11 marks critical thinking, analysis, completeness of response evident and average
4-6 marks critical thinking, analysis, completeness of response requires additional effort
4-5 marks critical thinking, analysis, completeness of response evident and average
2-3 marks critical thinking, analysis, completeness of response requires additional effort
3 School of Business
© 2016, Southern Alberta Institute of Technology