Fiduciary Compliance

$135.00

SKU: 11189 Category: Tag:

Description

Reviews the regulators role to routinely examine for the institutions safety and soundness, the bank compliance departments development of policies and procedures that evolve and change, and the advisors role in fiduciary compliance with key regulations that connect with client transactions.

What You’ll Learn

After completing this course, students will be able to:

  • Explain the purpose and components of fiduciary compliance
  • Describe key fiduciary laws and regulations
  • Explain the role of regulators and how they interact with the bank
  • Explain the advisor’s role in fiduciary compliance and key regulations
  • Identify when and how advisors typically interact with the firm’s compliance department
  • Additional information

    Audience

    Client-facing relationship managers (wealth advisors, fiduciary advisors, portfolio managers, bankers, planners) who want to raise their client engagement acumen

    Length

    Approximately 20 minutes

    Credits

    n/a

    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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