Applying Fiduciary Principles and Ethics

Course Number: ABA

Course Code: n/a

This course focuses on common client situations that may present ethical concerns for fiduciaries. These situations include: conflicts of interest, investment regulations and working with teams that include non-fiduciary advisors. You’ll identify actions to take that are consistent with ethical and fiduciary responsibilities.

What You’ll Learn

After completing this course, students will be able to:

• Explain behavioral guidelines for fiduciaries in potential conflict-of-interest situations
• Describe rules regarding revenue sharing for related parties and affiliates
• Describe rules for offering proprietary investments
• Explain investment regulatory requirements for directed brokerage accounts and control personnel
• Describe fiduciary responsibilities when working with a team that includes non-fiduciary advisors

Audience: Client-facing relationship managers (fiduciary advisors, portfolio managers, bankers, planners) who want to raise their client engagement acumen.

Prerequisites: n/a

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