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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Member Price: $135.00
Non-Member Price: $185.00
Textbook Charge: $0.00

Credits: 0.75 CTFA, CCTS, CRSP, CSOP

Length: Approximately 30 minutes

ABA Training