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.
Learning Objectives
Upon completion of this course, you should:
- 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
This course is designed for Registered Representatives.
Find this course for your license:
License or Certification
Regulator
Type