Overview
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
Upon completion of this course, students 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.
Designed For
Registered Representatives
Find this course for your license:
License or Certification
Regulator
Type