ABA Certificate in Fiduciary Risk and Compliance
Course Number: ABA
Course Code: ABA
Gain a full understanding of the regulatory basis and importance of fiduciary compliance, its elements and how it affects your role as an advisor. Learn key aspects of federal and other environmental laws, elements of fiduciary liability and steps fiduciaries can take to manage risk. Learn the importance of client due diligence and ongoing monitoring throughout the life of the relationship. Courses provide a foundation in the regulations, bank policies, procedures and relationship management responsibilities that impact fiduciary risk management and compliance.
You must complete the following courses:
- Introduction to Fiduciary Risk Management and Compliance
- Managing Fiduciary Risk and Litigation
- Fiduciary Compliance
- Environmental Liabilities of Fiduciaries
The estimated time to complete these 4 courses is approximately 2 hours and 30 minutes.