Course Number: ABA
Course Code: n/a
This course outlines the ethical standards that apply to all fiduciary professionals. These responsibilities include integrity, competency, fairness, and professionalism in relationships with customers and advisors.
What You’ll Learn
After completing this course, students will be able to:
- Describe the nature and implication of ethical and unethical behavior as a fiduciary
- Describe fiduciary responsibilities under three primary fiduciary duties
- Identify and avoid self-dealing and conflicts of interest
- Explain the principles of the Uniform Prudent Investor Act (UPIA) and how they apply
- Recognize financial elder abuse and take appropriate action
- Explain ethical and fiduciary responsibilities when working with a team
Audience: Client-facing relationship managers (fiduciary advisors, portfolio managers, bankers, planners) who want to raise their client engagement acumen.