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. 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
