This course will look at important recent compliance and trading changes and how those changes impact your duties as a financial professional. The new marketing rule, the DOL rule, the increasing focus on digital assets, and the uncertainty of the economy short-term are all issues that will impact your life as a financial professional and require changes in your practices.

• understand the new marketing rule
• understand your obligations relating to conflicts
• understand digital assets and your obligations relating to them
• understand your recordkeeping obligations
• understand the power and place of the CCO
• understand your obligations as a fiduciary