Applying Fiduciary Principles and Ethics

$135.00

  • Total

SKU: 11090 Category: Tag:

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

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

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