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 

 


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.