Description

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. Youll 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

Additional information

Audience	Client-facing relationship managers (fiduciary advisors, portfolio managers, bankers, planners) who want to raise their client engagement acumen.
Length	Approximately 30 minutes
Credits	0.75 CTFA, CCTS, CRSP, CSOP
Member Price	135.00
Non-Member Price	185.00
Course Number	ABA
Location	Online Self-Paced
Vendor	ABA
Course Code	ABA
Prerequisites	None
Day	Online