Ethical Practices and Fiduciary Obligations
Overview
There are many ethical obligations surrounding the industry. It is up to the investment adviser, firm, and their associated persons to use common sense and ethical business judgment to determine whether a practice: •is dishonest •is unethical •would take unfair advantage of a client This course will examine these ethical obligations.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- identify and avoid conflicts of interest in financial services
- uphold the Regulation Best Interest standard when providing recommendations
- recognize and report suspicious activity related to anti-money laundering
- maintain ethical conduct regarding compensation and market manipulation
- comply with all relevant regulations governing financial activities
Designed For:
Investment Adviser Representatives
Course Information
Adding additional credit may change exam requirements.
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S2-31 - Framework