Applying Fiduciary Principles and Ethics

$135.00

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. 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

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