The Investment Adviser Fiduciary Standards and Duty

Overview

This course highlights the fiduciary obligations that an investment adviser has by reviewing the concept of fiduciary, duty of loyalty, duty of best execution, conflicts of interest, and disclosure requirements.

Learning Objectives

Students who successfully complete this course will be able to:

  • describe the duty of a fiduciary
  • understand best execution requirements
  • describe how to avoid conflicts of interest
  • disclosure requirements for an investment adviser/fiduciary

Designed for

Investment Advisory

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