Course Number: ABA
Course Code: ABA
Reviews the regulator’s role to routinely examine for the institution’s safety and soundness, the bank compliance department’s development of policies and procedures that evolve and change, and the advisor’s role in fiduciary compliance with key regulations that connect with client transactions.
What You’ll Learn
After completing this course, students will be able to:
- Explain the purpose and components of fiduciary compliance
- Describe key fiduciary laws and regulations
- Explain the role of regulators and how they interact with the bank
- Explain the advisor’s role in fiduciary compliance and key regulations
- Identify when and how advisors typically interact with the firm’s compliance department
Audience: Client-facing relationship managers (wealth advisors, fiduciary advisors, portfolio managers, bankers, planners) who want to raise their client engagement acumen.