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. Please note this course does not meet the requirements of the NASAA IAR CE Model Rule that has been adopted by multiple states. This course does meet firm element requirements.

Find this course for your license

License or Certification

Regulator

Objectives

Upon completion of this course, students 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

Course Information

Adding additional credit may change exam requirements.

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