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. 

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

Investment Advisory