Identifying Conflicts of Interest

Overview

The purpose of this course is to prepare participants to take an active role in their firm’s strategies to address conflicts of interest. This course will explain the concepts, regulations, and entities that define and govern conflicts of interests for broker dealers, investment advisers, and their representatives.

Find this course for your license

License or Certification

Regulator

Objectives

be able to identify potential conflict of interest issues that affect the whole firm, individual representatives, or specific transactions
be equipped with knowledge and resources to explain strategies and procedures that mitigate or eliminate conflict of interest related risks
apply what you have learned to your own organization and business practices.

Designed For:

Registered Representatives

Course Information

Adding additional credit may change exam requirements.

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