Conflicts of Interest: Institutional Focus

Overview

This course discusses the rules for monitoring and avoiding conflicts of interest with your clients. The conflicts we will explore involve insider trading, gifts and gratuities, outside business activities, and supervision. It covers how to review and monitor these activities to uncover potential or active conflicts and to ensure that the activity is stopped and measures are put in place to keep it from occurring in the future

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Objectives

  • Understand insider trading
  • Understand gifts and gratuities
  • Understand outside business activities
  • Understand supervision

Designed For:

Institutional registered representatives 




Course Information

Adding additional credit may change exam requirements.