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