FINRA: Conflicts of Interest (ELC242)

Course Description

This course highlights conflicts of interests that could arise between registered representatives, clients and firms in the securities industry. Conflict-related scenarios are presented to help registered representatives learn how to better identify, mitigate and manage conflicts of interest in their business.

Learning Objectives

By taking this course, you will be able to:

  • Identify potential and actual conflicts of interest in your business.
  • Describe effective practices for mitigating and managing conflicts of interest.
  • Explain the impact of improperly managing conflicts of interest.

Complexity

Intermediate

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